Job opportunity
Compliance & Trade Oversight Specialist
Raymond James Ltd.
Raymond James Ltd. is Canada’s leading independent investment dealer offering high quality investment products and services to Canadians seeking customized wealth management solutions.
The role of Compliance Officer reports to the Manager, Compliance and is responsible for trade approvals, monthly account reviews and social media supervision. It also involves liaising with sales staff to implement corrective actions and ensuring adherence to firm policies and industry regulations.
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Apply on source site The role of Compliance Officer reports to the Manager, Compliance and is responsible for trade approvals, monthly account reviews and social media supervision. It also involves liaising with sales staff to implement corrective actions and ensuring adherence to firm policies and industry regulations.
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