Raymond James Ltd.
AML Compliance Officer – Client Intelligence Unit (CIU)
Job Description
At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together.
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.
AML Compliance Officer
How does the role impact the organization? As part of the Anti‑Money Laundering (AML) Client Intelligence Unit (CIU), you will be primarily responsible for daily Anti‑Money Laundering/Anti‑Terrorist Financing, Fraud and Sanctions (collectively, “Financial Crime Management (FCM)”) oversight and operational functions.
What will your role be responsible for?
- Conduct appropriate client due diligence through the review of client background information, and review of securities transactions, as necessary.
- Conduct daily client name screening activities and daily remediation of alerts with documented rationale, inclu...