Compliance Branch Examiner
Raymond JamesCanada
Posted April 14, 2026
70000 - 83000 CAD
Full Time
About the Company
Raymond James Ltd., a leading independent investment dealer in Canada, offers comprehensive wealth and financial solutions—including investment advisory, estate planning, trust services, insurance, and corporate financial advisory—to individual, institutional, and corporate clients. Leveraging a legacy that spans 60 years and recent acquisitions of legacy firms such as Goepel McDermid and 3Macs, the firm manages over CAD 6 billion in client assets and serves as Canada’s largest independent investment dealer. Its client‑centric approach is built on a culture that values diversity, innovation, and the personal and professional development of its talent, enabling advisors to deliver customized, long‑term wealth strategies. Backed by membership in the Canadian Investor Protection Fund, Raymond James Ltd. combines deep market expertise with a commitment to ethical stewardship, making it an attractive partner for clients seeking trusted financial guidance.
Job Description
Compliance Branch Examiner role at Raymond James Ltd. Conducts Compliance Branch visits, assists with expansion of the Firm's Review program, and implements corrective actions. Responsible for interacting with Head Office staff, testing, problem solving, and escalating issues. Requires at least 5 years' experience within the securities industry and a minimum of 2 years in a Compliance capacity.
Requirements
- At least 5 years’ experience within the securities industry.
- Minimum 2 years in a Compliance capacity.
- Completion of required industry courses (CSC, CPH).
- Bilingual in French and English is highly desirable.
- Valid driver’s license.
- Time management skills and the ability to work & travel independently on an extensive basis.
Benefits
- Health Benefits
- RRSP Matching Program
- Employee Stock Purchase Plan
- Paid Time Off
- Volunteer Days
- Discretionary Bonuses
- Tuition Reimbursement