VP, Trading Compliance
Multiple Locations1w ago
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Skills
About the role
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.
VP, Trading Compliance
How does the role impact the organization?
We're seeking a Vice President, Trading Compliance to join our Compliance team. In this role, you'll oversee trade compliance and surveillance activities supporting Raymond James Ltd.'s Private Client Group (PCG) business lines.
As the firm's subject matter expert on Universal Market Integrity Rules (UMIR), you'll play a key role in safeguarding market integrity, managing regulatory risk, and supporting a strong culture of compliance. Working closely with advisors, supervision teams, and business leaders, you'll help ensure trading activities align with regulatory requirements while contributing to the ongoing enhancement of our compliance program.
What will your role be responsible for?
- Review and investigate trade surveillance alerts to identify potential regulatory or market conduct concerns.
- Conduct employee account trading reviews to ensure compliance with internal policies and regulatory requirements.
- Escalate and support investigations of trading activity that may present compliance or market integrity risks.
- Act as a subject matter expert on UMIR and provide guidance to advisors, supervisors, and business partners.
- Partner with Compliance, Supervision, and business teams to resolve trade compliance matters and support risk mitigation.
- Prepare and contribute to monthly, quarterly, and Board-level compliance reporting.
- Support regulatory inquiries, examinations, audits, and internal investigations.
- Identify emerging risks and recommend enhancements to surveillance processes, controls, and procedures.
- Deliver compliance education and guidance to business partners across the organization.
- Mentor and support Compliance team members while fostering a collaborative, high-performing environment.
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.
VP, Trading Compliance
How does the role impact the organization?
We're seeking a Vice President, Trading Compliance to join our Compliance team. In this role, you'll oversee trade compliance and surveillance activities supporting Raymond James Ltd.'s Private Client Group (PCG) business lines.
As the firm's subject matter expert on Universal Market Integrity Rules (UMIR), you'll play a key role in safeguarding market integrity, managing regulatory risk, and supporting a strong culture of compliance. Working closely with advisors, supervision teams, and business leaders, you'll help ensure trading activities align with regulatory requirements while contributing to the ongoing enhancement of our compliance program.
What will your role be responsible for?
- Review and investigate trade surveillance alerts to identify potential regulatory or market conduct concerns.
- Conduct employee account trading reviews to ensure compliance with internal policies and regulatory requirements.
- Escalate and support investigations of trading activity that may present compliance or market integrity risks.
- Act as a subject matter expert on UMIR and provide guidance to advisors, supervisors, and business partners.
- Partner with Compliance, Supervision, and business teams to resolve trade compliance matters and support risk mitigation.
- Prepare and contribute to monthly, quarterly, and Board-level compliance reporting.
- Support regulatory inquiries, examinations, audits, and internal investigations.
- Identify emerging risks and recommend enhancements to surveillance processes, controls, and procedures.
- Deliver compliance education and guidance to business partners across the organization.
- Mentor and support Compliance team members while fostering a collaborative, high-performing environment.
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?
- 5+ years of experience in trade compliance, supervision, surveillance, or a related regulatory environment.
- Strong knowledge of UMIR, CIRO Dealer Member Rules, and the Canadian securities regulatory framework.
- Demonstrated experience conducting compliance reviews, investigations, or surveillance activities.
- Strong analytical and investigative skills, with exceptional attention to detail.
- Ability to exercise sound judgment and effectively manage competing priorities.
- Excellent communication and relationship-building skills, with the ability to influence stakeholders across the organization.
- Proficiency in Microsoft Office applications, including Excel, Word, and Outlook.
Licenses/Certifications
- Successful completion of the Investment Dealer Supervisor Course and the requisite courses for registration as an CIRO Supervisor are required.
- Completion of the Options Supervisor Course an asset
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