VP, Trading Compliance

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.