Raymond James Financial
Trade Compliance Officer at Raymond James
Job Description
Elevate your career with Raymond James as a Compliance Officer, focusing on trade approvals and compliance oversight. This role emphasizes industry regulations and internal policies to ensure operational integrity.
As a Compliance Officer, you will report directly to the Manager, Compliance, and oversee trade approvals, account reviews, and social media management. You will ensure compliance with organizational policies while liaising with sales staff for corrective actions. Additionally, you will actively participate as a resource at the department’s help desk.
Key Responsibilities: • Monitor and approve trades in restricted securities • Address compliance queries from branches promptly • Act as primary contact for new account questions • Approve trade corrections and review escalations • Conduct supervision of email and social media
Requirements: • Experience in compliance or related roles in securities • Completed Canadian Securities and Conduct courses • ...
As a Compliance Officer, you will report directly to the Manager, Compliance, and oversee trade approvals, account reviews, and social media management. You will ensure compliance with organizational policies while liaising with sales staff for corrective actions. Additionally, you will actively participate as a resource at the department’s help desk.
Key Responsibilities: • Monitor and approve trades in restricted securities • Address compliance queries from branches promptly • Act as primary contact for new account questions • Approve trade corrections and review escalations • Conduct supervision of email and social media
Requirements: • Experience in compliance or related roles in securities • Completed Canadian Securities and Conduct courses • ...