Senior Compliance Officer, Product - 12 Month Contract

Senior Compliance Officer, Product - 12 Month Contract )

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.

How does the role impact the organization?

We are seeking a highly qualified Senior Compliance Officer to join our team. In this role, you will play a critical part in ensuring the firm’s compliance with industry regulations and internal policies. Your key responsibilities include performing day-to-day tasks related to product and security risk, maintaining compliance standards, and supporting departmental reporting, and providing guidance through our compliance help desk.

What will your role be responsible for?

Product and Security Risk

• Execute daily responsibilities related to product and security risk in accordance with internal policies and established framewor...