Senior Compliance Officer, Investigations

Senior Compliance Officer, Investigations

Join to apply for the Senior Compliance Officer, Investigations role at 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.

Senior Compliance Officer, Investigations (Private Client Group (PCG) Compliance).

How does the role impact the organization? The Senior Compliance Officer, Investigations serves a key function in supporting Raymond James Ltd. (RJL) commitment to market integrity and investor protection by identifying, analyzing, and escalating potential breaches of CIRO regulations and internal policies. This position demands strong analytical acumen, sound judgment, and a thorough understanding of the CIRO gatekeeper obligations, particularly those outlined in Rule 1400 and UMIR.

The Senior Compliance Officer, Investigations will collaborate with Market Surveillance, Trade Surveillance, Anti‑Money Laundering teams, and other stakeholder groups to support the detection and assessment of regulatory concerns.

What will your role be responsible for?

• Collaborate with Market Surveillance, Trade Surveillance, AML and other relevant stakeholder groups to support investigations.
• Analyze trading and client activity to identify anomalies or ‘red flags’ that may indicate misconduct or regulatory breaches.
• Assess whether activity warrants inquiry, and conduct investigations through document and electronic communication review, interviews, and analysis of account and market data.
• Document findings and elevate issues to senior Compliance Department staff, including the RJL Chief Compliance Officer.
• Coordinate with internal teams to ensure timely regulatory reporting.
• Contribute to training materials and compliance communications.
• Provide guidance to supervisors and registrants on recognizing and responding to red flags.
• Maintain comprehensive records of investigations and outcomes.
• Prepare reports for internal stakeholders.
• Support other compliance initiatives as required.

What can you expect from us?

Our most important investment is in people. Upon eligibility, Raymond James Ltd offers flexible work styles
, 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 degree in Business Administration, Finance, or a related field is preferred.
• Completion of the Canadian Securities Course (CSC) is preferred.
• Minimum of 5 years of experience in compliance, audit, or regulatory investigations within the financial services industry; experience within a CIRO‑member firm is considered an asset.
• Strong knowledge of CIRO rules, including Rule 1400 and UMIR.
• Experience conducting compliance investigations or forensic audits.
• Excellent analytical, communication, and documentation skills.
• Ability to exercise sound judgment in ambiguous or complex situations.
• Familiarity with market surveillance tools.
• Ability to work independently and collaboratively in a fast‑paced environment.
• Proficiency using Excel and Smartsheet.

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…