Compliance Manager (Raymond James Ltd.)

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.

Compliance Manager (Raymond James Ltd.)

Location: Toronto/BC

How does the role impact the organization?

Reporting to the Chief Compliance Officer (CCO) of Raymond James (USA) Ltd. (RJLU), the Manager is responsible for all aspects of compliance oversight as set out in the rules and regulations established by the Financial Industry Regulatory Authority (FINRA), Securities and Exchange Commis...