Compliance Associate, Complaints & Investigations
Top Benefits
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.
Compliance Associate, Complaints & Investigations How does the role impact the organization? The successful candidate will play a key operational role in the firm’s complaints and investigations framework. This position is responsible for supporting the coordination and execution of Regulatory Requests for Information (RFIs) from various oversight bodies, including CIRO, OSC, AMF, and OBSI. The role requires strong organizational skills, attention to detail, and the ability to manage sensitive information in a fast-paced regulatory environment.
What will your role be responsible for?
- Coordinate and respond to Regulatory Requests for Information (RFIs) from CIRO, OSC, AMF, OBSI, and other oversight bodies, ensuring accuracy and timeliness.
- Track and organize incoming RFI requests and outgoing submissions, maintaining clear documentation and audit trails.
- Gather relevant data from internal systems to support regulatory inquiries and investigations.
- Monitor and analyze RFI metrics and trends to support internal reporting and presentations to senior management and the board.
- Support the intake, documentation, and tracking of client complaints in accordance with regulatory requirements and internal policies.
- Assist in investigations by conducting account analysis and compiling relevant evidence.
- Perform email reviews related to complaints and regulatory inquiries, ensuring thoroughness and compliance.
- Act as a backup resource during peak complaint periods or team member absences to maintain continuity of operations.
- Participate in compliance-related projects and initiatives, contributing to process improvements and regulatory readiness.
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?
- Post-secondary diploma or degree in Business Administration, Finance, or a related field is preferred.
- Minimum of 2 years’ experience in the investment brokerage or financial services industry; experience within a CIRO-member firm is considered an asset.
- Proficiency in Microsoft Office (Excel, Word, Outlook, PowerPoint) and Smartsheet, with a demonstrated ability and willingness to learn new applications and tools.
- Familiarity with Canadian regulatory bodies and frameworks, including CIRO, OSC, AMF, and OBSI.
- Strong organizational skills with the ability to manage multiple priorities and meet tight deadlines in a high-volume, fast-paced environment.
- Exceptional attention to detail and a commitment to maintaining a high level of service and accuracy.
- Strong analytical and communication skills, with the ability to handle sensitive information with discretion.
Licenses/Certifications
- Completion of the Canadian Securities Course (CSC) is preferred.
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
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.
Job Compliance
Primary Location CA-ON-Toronto-Toronto
Other Locations CA-QC-Montreal-Montréal
Organization Compliance
Schedule Full-time
Status Permanent Full-Time
About Raymond James Ltd.
Raymond James Ltd., the Canadian subsidiary of Raymond James Financial, Inc., has a rich history dating back to its establishment in 1962. Our parent company, which went public in 1983, is listed on the New York Stock Exchange under the ticker symbol RJF.
In 2000, Raymond James Financial, Inc. acquired Goepel McDermid Inc., subsequently rebranding it as Raymond James Ltd. Our legacy companies have been serving Canadian investors for nearly eight decades.
In 2016, Raymond James Ltd. further expanded its reach by acquiring 3Macs (MacDougall, MacDougall & MacTier Inc.), a distinguished investment firm founded in 1849, predating Canada’s Confederation. This acquisition significantly bolstered our private client business, integrating 72 advisors and over CAD 6 billion in client assets, thereby establishing the combined entity as Canada’s largest independent investment dealer.
Raymond James Ltd. is proud to be a member the Canadian Investor Protection Fund (CIPF).
Our vision – to be a firm as unique as the people we serve – guides us as we work to gain an even deeper understanding of what makes each of us unique and of what unites us. This principle guides our business at every level, including how we attract talented people and support their personal goals and professional development. When we welcome and embrace diverse experiences, perspectives and points of view in the workplace, it leads to more innovation, creativity and collaboration.
Compliance Associate, Complaints & Investigations
Top Benefits
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.
Compliance Associate, Complaints & Investigations How does the role impact the organization? The successful candidate will play a key operational role in the firm’s complaints and investigations framework. This position is responsible for supporting the coordination and execution of Regulatory Requests for Information (RFIs) from various oversight bodies, including CIRO, OSC, AMF, and OBSI. The role requires strong organizational skills, attention to detail, and the ability to manage sensitive information in a fast-paced regulatory environment.
What will your role be responsible for?
- Coordinate and respond to Regulatory Requests for Information (RFIs) from CIRO, OSC, AMF, OBSI, and other oversight bodies, ensuring accuracy and timeliness.
- Track and organize incoming RFI requests and outgoing submissions, maintaining clear documentation and audit trails.
- Gather relevant data from internal systems to support regulatory inquiries and investigations.
- Monitor and analyze RFI metrics and trends to support internal reporting and presentations to senior management and the board.
- Support the intake, documentation, and tracking of client complaints in accordance with regulatory requirements and internal policies.
- Assist in investigations by conducting account analysis and compiling relevant evidence.
- Perform email reviews related to complaints and regulatory inquiries, ensuring thoroughness and compliance.
- Act as a backup resource during peak complaint periods or team member absences to maintain continuity of operations.
- Participate in compliance-related projects and initiatives, contributing to process improvements and regulatory readiness.
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?
- Post-secondary diploma or degree in Business Administration, Finance, or a related field is preferred.
- Minimum of 2 years’ experience in the investment brokerage or financial services industry; experience within a CIRO-member firm is considered an asset.
- Proficiency in Microsoft Office (Excel, Word, Outlook, PowerPoint) and Smartsheet, with a demonstrated ability and willingness to learn new applications and tools.
- Familiarity with Canadian regulatory bodies and frameworks, including CIRO, OSC, AMF, and OBSI.
- Strong organizational skills with the ability to manage multiple priorities and meet tight deadlines in a high-volume, fast-paced environment.
- Exceptional attention to detail and a commitment to maintaining a high level of service and accuracy.
- Strong analytical and communication skills, with the ability to handle sensitive information with discretion.
Licenses/Certifications
- Completion of the Canadian Securities Course (CSC) is preferred.
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
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.
Job Compliance
Primary Location CA-ON-Toronto-Toronto
Other Locations CA-QC-Montreal-Montréal
Organization Compliance
Schedule Full-time
Status Permanent Full-Time
About Raymond James Ltd.
Raymond James Ltd., the Canadian subsidiary of Raymond James Financial, Inc., has a rich history dating back to its establishment in 1962. Our parent company, which went public in 1983, is listed on the New York Stock Exchange under the ticker symbol RJF.
In 2000, Raymond James Financial, Inc. acquired Goepel McDermid Inc., subsequently rebranding it as Raymond James Ltd. Our legacy companies have been serving Canadian investors for nearly eight decades.
In 2016, Raymond James Ltd. further expanded its reach by acquiring 3Macs (MacDougall, MacDougall & MacTier Inc.), a distinguished investment firm founded in 1849, predating Canada’s Confederation. This acquisition significantly bolstered our private client business, integrating 72 advisors and over CAD 6 billion in client assets, thereby establishing the combined entity as Canada’s largest independent investment dealer.
Raymond James Ltd. is proud to be a member the Canadian Investor Protection Fund (CIPF).
Our vision – to be a firm as unique as the people we serve – guides us as we work to gain an even deeper understanding of what makes each of us unique and of what unites us. This principle guides our business at every level, including how we attract talented people and support their personal goals and professional development. When we welcome and embrace diverse experiences, perspectives and points of view in the workplace, it leads to more innovation, creativity and collaboration.