Senior Compliance Officer, Product

SENIOR COMPLIANCE OFFICER, PRODUCT RISK - 12 Month Contract

How does the role impact the organization?

Raymond James Ltd. is Canada’s leading full-service independent investment dealer, providing high quality investment products and services to Canadians seeking customized solutions. We are seeking a highly qualified Senior Compliance Officer to join our team. In this role, you will play a critical part in ensuring the firm’s compliance with industry regulations and internal policies. Your key responsibilities include performing day-to-day tasks related to product and security risk, maintaining compliance standards, and supporting departmental reporting, and providing guidance through our compliance help desk.

What will your role be responsible for?

• Execute daily responsibilities related to product and security risk in accordance with internal policies and established frameworks.
• Conduct periodic adjustments, override reviews,...