Chief Compliance Officer

Raymond James - Vancouver, BC (30+ days ago)

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Raymond James Ltd. is seeking a Chief Compliance Officer to work in either our Vancouver or
Toronto offices.

Raymond James Ltd. (RJL) is Canada’s leading independent investment dealer offering high
quality investment products and services to Canadians seeking customized solutions to their
wealth management needs.

Specifically you will:
  • Lead the national compliance function for Canada, develop and build a team while
interacting and providing support to the International Compliance team of Raymond
James Financial Inc. (RJF);

  • Provide expert regulatory advice on applicable laws and regulations;
  • Report and escalate compliance risks and activities to the Chief Executive Officer, the
International Chief Compliance Officer and/or RJF Risk & Audit Committee, where

  • Establish and update compliance policies and procedures as required to ensure, to every
extent possible, that RJL is compliant with applicable laws, rules and regulations;

  • Establish and update programs to monitor and assess compliance by the firm and
individuals acting on its behalf;

  • Research, review and interpret all relevant securities laws, rules and regulations
governing broker dealers and Registered Investment Advisors who are registered under
IIROC, FINRA and/or the CSA;

  • Has the capability to act as Chief Privacy Officer (CPO) or alternate in the CPO’s
absence, establishing and monitoring compliance with applicable legislation across
provincial jurisdictions while managing monthly International Compliance reporting;

  • May act as Chief AML Officer, managing the RJL Anti-Money Laundering (AML)

  • Conduct monthly meetings with supervision management and escalate issues of

  • Manage investigations, coordinate fact gathering, and provide responses to periodic
regulatory inquiries;

  • Conduct all annual compliance regulatory requirements such as the Annual Compliance
Meeting and the Annual CEO-CCO Certification;

  • Develop and manage programs to meet mandated program implementations;
  • Develop the continuing education programs for the Wealth Management division;
  • Liaise with Raymond James management on matters pertaining to its business, and
implement appropriate action by coordinating with staff, legal counsel and consultants;
  • Report to the Raymond James Ltd. Board of Directors on a quarterly basis;
  • Serve as an active and engaged partner with colleagues in International Compliance at
RJF and affiliates in the U.S. for legal and compliance matters including policy
development; and

  • Represent Raymond James in industry forums.
To qualify for this opportunity you possess:
Education / Certifications

  • Bachelor of Law, Chartered Accountant, Chartered Financial Analyst, or Master of
Business Administration preferred.

Skills, knowledge, and experience

  • Significant experience, specifically in leading a successful compliance program;
  • Experience and working knowledge of the relevant issues, laws, regulations and
guidelines affecting compliance, risk management and market conduct in the wealth
management industry;

  • Experience presenting and communicating compliance issues to senior management
and the board;

  • Business savvy with strong financial acumen;
  • Strong leader who has built and mentored a high performing, compliance team;
  • Successful completion of the Canadian Securities Course (CSC);
  • Successful completion of the Chief Compliance Officers Qualifying Exam;
  • Successful completion of the Partners, Directors and Senior Officers Course (PDO);
  • IIROC licensing and registration as Chief Compliance Officer;
  • Strong knowledge of applicable federal and state consumer, AML, Securities regulatory
requirements and regulator expectations;
  • Experience working in a multi-faceted regulatory environment;
  • Extensive senior level experience working in the financial industry;
  • Experience acting as a liaison with regulatory bodies on interpretation, application and
level of adherence to laws and regulations; and
  • Has enhanced the linkage between compliance and the business by providing pro-active
assistance to line management.

Leadership capabilities

  • Strategic Effectiveness – Uses foresight, environmental awareness and thought
leadership to create a compelling vision for the future and develop distinctive strategies
to achieve desired business outcomes; fosters new ways of thinking and drives needed
change to transform the business.

  • Collaboration – Purposefully builds positive working relationships internally at all levels
as well as alliances and partnerships externally by fostering trust, collaboration and
teamwork; demonstrates sensitivity and openness to others' views; and uses EQ to
adapt interpersonal style to relate well to others.

  • Credible Influence - Advise and influence with integrity and self-awareness to achieve
organizational objectives.

  • Relationship Management - Build and manage productive relationships and partnerships.
  • Professional Expertise - Build and apply knowledge and expertise to deliver value to the
  • Results Driven - Build capability and expertise within the team to deliver results.
This is a permanent full-time position with a competitive compensation and benefits package.

If you would like to be considered for this role, please send an expression of interest and resume,

quoting the position and Job Posting # 19-235 by February 21, 2020 to:

Human Resources
Raymond James Ltd.

To be considered for employment candidates will be required to provide proof of citizenship,
permanent residency or eligibility to work in Canada with no restrictions. We require applicants to
complete a background verification process prior to commencing employment with the company,
including but not limited to a credit and criminal record check. Employment is contingent on the
satisfactory completion of a pre-employment background check.

We sincerely thank all applicants who express an interest in this role: only those being directly
considered will be contacted.

Raymond James Ltd. recognizes the value of a diverse workforce and appreciates the unique
skills and special contribution of each employee. We are committed to accessibility for candidates
through all stages of the recruitment process. Should you require accommodation, please contact
Human Resources via email at