Compliance Associate

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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.

RJLU Compliance Associate

How does the role impact the organization?

Raymond James Ltd. (RJL) is Canada's leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.

RJL is seeking a Compliance Associate for a 12-month contract with its subsidiary company Raymond James (USA) Ltd. (RJLU). The role will be based out of Toronto or Vancouver, with an anticipated start date of November 9th, 2026.

RJLU is a cross-border firm registered in the U.S. with the Securities Exchange Commission (SEC) as a Registered Investment Adviser and Broker-Dealer and is a member of Financial Industry Regulatory Authority (FINRA). In Canada, RJLU operates under Exemptive Relief orders from the British Columbia and Ontario securities commissions.

Reporting to the Manager, RJLU Compliance, the Compliance Associate will support routine monitoring, administrative and documentation activities across the Institutional and Private Client Group lines of business. This position requires strong organizational skills, attention to detail and an interest in securities compliance. The position interfaces with advisors, sales assistants, the firm's custodian, Operations and RJLU home office staff, with training and oversight provided by the Compliance team.

What will your role be responsible for?

• Conduct daily trade reviews and review exception reports, documenting and escalating potential issues.
• Conduct daily email monitoring and maintain supporting supervisory documentation.
• Monitor the Compliance inbox, respond to routine advisor and sales assistant inquiries and escalate complex matters.
• Assist with security certificate deposits, including low-priced and restricted securities, and related documentation.
• Assist with physical security legend removals and related processing and tracking.
• Support administration and tracking of referral agreements.
• Maintain logs and records for certificate deposits and other Compliance activities.
• Assist with portfolio reviews, including reporting, tracking and follow-up.
• Support Prudent Process administration, including documentation reviews, database maintenance and monitoring.
• Assist in coordinating continuing education and preparing related materials.
• Assist with compliance procedures, recordkeeping and process improvements.
• Provide administrative support for examinations, audit remediation and Compliance Edge implementation, as assigned.
• Attend team and firm meetings.
• Travel on an ad hoc basis, if required.
• Participate in other Compliance tasks and projects, as assigned.

What can you expect from us?

Our most important investment is in people. Upon eligibility, Raymond James Ltd offers flexible workstyles, a competitive compensation and benefits package. Our benefits range from Health Benefits, RRSP Matching Program, Employee Stock Purchase Plan, Paid Time Off, Volunteer Days, Discretionary Bonuses, Tuition Reimbursement and many more! We also support internal promotion and community involvement.

'',''!*!

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.

RJLU Compliance Associate

How does the role impact the organization?

Raymond James Ltd. (RJL) is Canada's leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.

RJL is seeking a Compliance Associate for a 12-month contract with its subsidiary company Raymond James (USA) Ltd. (RJLU). The role will be based out of Toronto or Vancouver, with an anticipated start date of November 9th, 2026.

RJLU is a cross-border firm registered in the U.S. with the Securities Exchange Commission (SEC) as a Registered Investment Adviser and Broker-Dealer and is a member of Financial Industry Regulatory Authority (FINRA). In Canada, RJLU operates under Exemptive Relief orders from the British Columbia and Ontario securities commissions.

Reporting to the Manager, RJLU Compliance, the Compliance Associate will support routine monitoring, administrative and documentation activities across the Institutional and Private Client Group lines of business. This position requires strong organizational skills, attention to detail and an interest in securities compliance. The position interfaces with advisors, sales assistants, the firm's custodian, Operations and RJLU home office staff, with training and oversight provided by the Compliance team.

What will your role be responsible for?

• Conduct daily trade reviews and review exception reports, documenting and escalating potential issues.
• Conduct daily email monitoring and maintain supporting supervisory documentation.
• Monitor the Compliance inbox, respond to routine advisor and sales assistant inquiries and escalate complex matters.
• Assist with security certificate deposits, including low-priced and restricted securities, and related documentation.
• Assist with physical security legend removals and related processing and tracking.
• Support administration and tracking of referral agreements.
• Maintain logs and records for certificate deposits and other Compliance activities.
• Assist with portfolio reviews, including reporting, tracking and follow-up.
• Support Prudent Process administration, including documentation reviews, database maintenance and monitoring.
• Assist in coordinating continuing education and preparing related materials.
• Assist with compliance procedures, recordkeeping and process improvements.
• Provide administrative support for examinations, audit remediation and Compliance Edge implementation, as assigned.
• Attend team and firm meetings.
• Travel on an ad hoc basis, if required.
• Participate in other Compliance tasks and projects, as assigned.

What can you expect from us?

Our most important investment is in people. Upon eligibility, Raymond James Ltd offers flexible workstyles, a competitive compensation and benefits package. Our benefits range from Health Benefits, RRSP Matching Program, Employee Stock Purchase Plan, Paid Time Off, Volunteer Days, Discretionary Bonuses, Tuition Reimbursement and many more! We also support internal promotion and community involvement.

'',''!*!

What do we expect from you?

Knowledge of

• MS Office and excellent proficiency with MS Outlook, Word, Excel and PowerPoint.
• Securities operations, including certificate deposits, legend removals and transfers, an asset.
• Regulatory and compliance processes, an asset.
• Pershing's NetX360 system, an asset.

Skill in

• Organizing, multi-tasking, and prioritizing.
• Paying strong attention to detail.

Ability to

• Build strong relationships.
• Manage competing priorities.
• Work on simultaneous projects.
• Communicate effectively both verbally and in writing.

Educational & Previous Experience Requirements

• Prior securities industry, financial services or compliance experience is an asset.
• Experience with a U.S. broker-dealer or Canadian cross-border dealer is an asset, not required.
• Successful completion of FINRA's Securities Industry Essentials (SIE), Series 7 and Series 24 exams highly desired, or willingness to complete within a reasonable timeframe.
• Strong customer service and interpersonal skills, with willingness to learn.

We encourage our associates at all levels to:

• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm

Salary Range: $55,000 - $65,000 annually, in addition to competitive performance bonuses/incentives.

Actual compensation will be determined based on skills, experience, internal equity, and other job requirements.

This posting is for an existing vacancy.

At Raymond James - 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. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

Here at Raymond James 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. By reaching out to this email address, candidates can communicate their specific requirements and discuss the necessary accommodations they may need to participate fully in the recruitment process.

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.

'',''!*!

What do we expect from you?

Knowledge of

• MS Office and excellent proficiency with MS Outlook, Word, Excel and PowerPoint.
• Securities operations, including certificate deposits, legend removals and transfers, an asset.
• Regulatory and compliance processes, an asset.
• Pershing's NetX360 system, an asset.

Skill in

• Organizing, multi-tasking, and prioritizing.
• Paying strong attention to detail.

Ability to

• Build strong relationships.
• Manage competing priorities.
• Work on simultaneous projects.
• Communicate effectively both verbally and in writing.

Educational & Previous Experience Requirements

• Prior securities industry, financial services or compliance experience is an asset.
• Experience with a U.S. broker-dealer or Canadian cross-border dealer is an asset, not required.
• Successful completion of FINRA's Securities Industry Essentials (SIE), Series 7 and Series 24 exams highly desired, or willingness to complete within a reasonable timeframe.
• Strong customer service and interpersonal skills, with willingness to learn.

We encourage our associates at all levels to:

• Grow professionally and inspire others to do the same
• Work with and through others to achieve desired outcomes
• Make prompt, pragmatic choices and act with the client in mind
• Take ownership and hold themselves and others accountable for delivering results that matter
• Contribute to the continuous evolution of the firm

Salary Range: $55,000 - $65,000 annually, in addition to competitive performance bonuses/incentives.

Actual compensation will be determined based on skills, experience, internal equity, and other job requirements.

This posting is for an existing vacancy.

At Raymond James - 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. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.

Here at Raymond James 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. By reaching out to this email address, candidates can communicate their specific requirements and discuss the necessary accommodations they may need to participate fully in the recruitment process.

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.

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