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About the Role
We're seeking a Vice President, Trading Compliance to join our Compliance team. In this role, you'll oversee trade compliance and surveillance activities supporting Raymond James Ltd.'s Private Client Group (PCG) business lines. As the firm's subject matter expert on Universal Market Integrity Rules (UMIR), you'll play a key role in safeguarding market integrity, managing regulatory risk, and supporting a strong culture of compliance. Working closely with advisors, supervision teams, and business leaders, you'll help ensure trading activities align with regulatory requirements while contributing to the ongoing enhancement of our compliance program.
Responsibilities
- Review and investigate trade surveillance alerts to identify potential regulatory or market conduct concerns.
- Conduct employee account trading reviews to ensure compliance with internal policies and regulatory requirements.
- Escalate and support investigations of trading activity that may present compliance or market integrity risks.
- Act as a subject matter expert on UMIR and provide guidance to advisors, supervisors, and business partners.
- Partner with Compliance, Supervision, and business teams to resolve trade compliance matters and support risk mitigation.
- Prepare and contribute to monthly, quarterly, and Board-level compliance reporting.
- Support regulatory inquiries, examinations, audits, and internal investigations.
- Identify emerging risks and recommend enhancements to surveillance processes, controls, and procedures.
- Deliver compliance education and guidance to business partners across the organization.
- Mentor and support Compliance team members while fostering a collaborative, high-performing environment.
Requirements
- 5+ years of experience in trade compliance, supervision, surveillance, or a related regulatory environment.
- Strong knowledge of UMIR, CIRO Dealer Member Rules, and the Canadian securities regulatory framework.
- Demonstrated experience conducting compliance reviews, investigations, or surveillance activities.
- Strong analytical and investigative skills, with exceptional attention to detail.
- Ability to exercise sound judgment and effectively manage competing priorities.
- Excellent communication and relationship-building skills, with the ability to influence stakeholders across the organization.
- Proficiency in Microsoft Office applications, including Excel, Word, and Outlook.
Skills
- UMIR
- CIRO Dealer Member Rules
- Canadian securities regulatory framework
- Compliance reviews
- Investigations
- Surveillance activities
- Analytical skills
- Investigative skills
- Attention to detail
- Judgment
- Priority management
- Communication skills
- Relationship-building skills
- Influencing skills
- Microsoft Office Suite (Excel, Word, Outlook)
Location
- Canada
Work Type
- Flexible workstyles
Experience Level
- 5+ years
Education Level
- Successful completion of the Investment Dealer Supervisor Course and the requisite courses for registration as an CIRO Supervisor are required.
- Completion of the Options Supervisor Course an asset
Salary/Compensations
- $130,000 - $160,000 annually, in addition to competitive performance bonuses/incentives.
Benefits
- Health Benefits
- RRSP Matching Program
- Employee Stock Purchase Plan
- Paid Time Off
- Volunteer Days
- Discretionary Bonuses
- Tuition Reimbursement
About the Company
- Raymond James Ltd. is Canada’s leading independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.
- At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together.
- Our most important investment is in people.
- We honor, value, respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic self, our organization, clients and communities thrive, it is part of our people-first culture.
Equal Opportunity
- The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
- We demonstrate our commitment to ensuring equal opportunities for all candidates.
- To request accommodations, candidates are instructed to contact Human Resources via email at recruitment@raymondjames.ca.
- We may use automated or AI-enabled tools to support parts of our recruitment and screening process, including screening, assessing or selecting applicants where applicable. These tools help us review applications efficiently, but they do not replace human decision-making.