AML Senior Compliance Officer
$80k - $100k par annéeRaymond James Ltd.
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
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. 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
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 escalate 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.
Support other compliance initiatives as required.
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.
Post-secondary degree in Business Administration, Finance, or a related field 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.
Experience conducting compliance investigations or forensic audits.
Familiarity with market surveillance tools.
Proficiency using Excel and Smartsheet
When associates bring their best authentic self, our organization, clients and communities thrive, it is part of our people-first culture. Salary Range: BC (based on Education, Work Experience, etc) $80,000-100,000 in addition to competitive performance bonuses/incentives
Compliance
Compliance
Full-time
Permanent Full-Time
- ...Support the Wealth Management Complaints and Investigations program covering various Canadian Wealth... ...merits ofthe complaint for the Director Compliance Complaints & Investigations to review... ...in will remain live for a minimum of 5 days. Required Experience: Senior IC...SeniorTemps plein
$109.81k - $146.41k par année
Are you ready to advance your career while impacting change in emerging markets? We are looking for a Senior Compliance Officer! Welcome to FinDev Canada , Canada’s development financial institution! We are looking for talented professionals to join our growing organization...SeniorEmploi permanentTemps pleinStageBureau à domicile$86k - $160k par année
...This role will be part of the Global Investigations team, BMO's independent investigative unit... ...audits and verifications in accordance with compliance requirements, policies, procedures and... ...and serves as a specialist resource to senior leaders and stakeholders. Applies expertise...SeniorTemps pleinСontratTemps partielTravail posté- ...consider this opportunity to make a meaningful impact with Rogers Bank. Who we're looking for: Reporting to the Chief Compliance Officer, this position advises the business on regulatory compliance Bank Act-related obligations for all day-to-day implementations of...SeniorTemps pleinСontratTravail posté
- ...Scotiabank. Purpose Contributes to the overall success of the Global Banking & Markets and Treasury (GBM&T) Compliance Canada Program. The Senior Compliance Officer will work closely with the Senior Manager Programs & Monitoring the GBM&T Compliance Canada team and a...SeniorTemps plein
$61.6k - $113.9k par année
...Street West Job Family Group: Audit, Risk & Compliance Job Description - R250016473 Compliance Officer - Regulatory Compliance Testing The Canadian Regulatory... ...and reporting exceptions identified to Compliance senior management and the associated Business or Corporate...SeniorTemps pleinСontratTemps partiel- ...Assist Manager with developing and amending compliance policies and procedures, in response to... ...stakeholders including the Chief Compliance Officer (CCO) / Head of Compliance, the Compliance Committee, Board of Directors, Senior Management and the parent company. Work...SeniorTemps pleinStageTravail au bureau
$61.35k - $102.25k par année
...The Senior Compliance Analyst will play a critical supporting role in advancing various Regulatory Compliance Management programs and operational... ...Communicate regulatory changes to Business Unit Compliance Officers and evaluate their risk assessments. Develop and manage workback...SeniorContrat Longue DuréeTemps pleinTravail temporaireZone localeHoraires flexibles- ...(CSOC) team is responsible for detecting, monitoring, and investigating threats. We are responsible for the coordination of key programs... ...Reporting to the Manager, Enterprise Cybersecurity Investigations the Senior Cybersecurity Investigator works on Cyber and Data security...SeniorTravail à domicileHoraires flexibles
- Senior Administration Officer Location Hybrid work in Toronto, ON : Seeing beyond numbers TM At Laurentian... ..., and completeness, and ensures compliance with internal and external audit and... ...analytical skills to perform investigative work due to escalated issues. ~ Completion...SeniorTemps pleinTravail au bureauHoraires flexibles
$94.6k - $176k par année
...Address: 100 King Street West Job Family Group: Audit, Risk & Compliance Leads a team that assists in the implementation, maintenance... ...into these initiatives. Makes recommendations to senior leaders on strategy and new initiatives, based on an in-depth understanding...SeniorTemps pleinСontratTemps partiel- ...Leads and oversees daily investigations as they concern wire payments... ...are executed and delivered in compliance with regulations internal policies... .../exposure to Banks back-office operations environment ~5 years... ...will be contacted. Required Experience: Senior Manager...SeniorTemps plein
- ...inspired to do their best work. About The Regulatory (Reg) Team We're on the lookout for a super motivated and experienced Senior Manager, Compliance Program Management to join our growing Regulatory (Reg) team. You'll report directly to our Director, Securities &...SeniorTravail à distanceTravail posté
- ...525 University Ave, Toronto, ON Our client is seeking a Senior Project Control Officer Key Deliverables for Senior Project Control Officer... ...adjust plans to meet deadlines while maintaining quality and compliance. Collaboration : Work closely with internal teams,...Senior
- Bilingual Senior Administration Officer Location Hybrid work in Toronto, ON : Seeing beyond numbers™ At Laurentian Bank, we believe we can change... ...department for accuracy, clarity, and completeness, and ensures compliance with internal and external audit and regulatory...SeniorTemps pleinTravail au bureauRecrutement immédiatHoraires flexibles
$95.63k - $122.29k par année
Senior Financial Officer Location Hybrid work in Toronto, ON : Date Posted: 03/03/2025 Req ID: 41872 Faculty/Division: UofT Scarborough Department: UTSC:Ofc of the Vice-Prin (Acad) & Dean Campus: University of Toronto Scarborough (UTSC) Position Number: 00048811 Description...SeniorTemps pleinTravail au bureau- ...Build the future with us Are you driven by regulatory compliance excellence and eager to contribute to the purpose of a company... ...clients feel confident and secure about their future? As a Senior Registration Officer, you will play a key role in ensuring seamless business...SeniorTravail au bureauHoraires flexibles
$81.31k par année
...activities of casual unionized staff Ensuring compliance with University standards and guidelines... ...in event management with progressively senior roles and increasing levels of... ...detail Advanced proficiency in Microsoft Office Suite (Excel, PowerPoint, Word) Ability...SeniorRemplacementTemps pleinTemps partielTravail occasionnelTravail au bureauTravail le week-endÉquipe de l'après-midi$45.5k - $84.5k par année
...Services Note - While this requisition is for a Senior Investigator role, candidates with no prior investigation experience and/or who are seeking entry level... ...criminal risk frameworks and standards to ensure compliance as well as support trending, analysis and insights...SeniorСontratTemps partiel- ...is responsible for conducting triage and investigative activities as it relates to Correspondent... ...and clients of a Correspondent Bank. As a Senior Investigator Correspondent Bank EAML... ...simulation coding French proficiency MS Office). Our goal for the application process is...SeniorTemps pleinTravail au bureau3 jours par semaine1 jour par semaine
- ...January 12, 2026- January 04, 2027 Location: Onsite/Hybrid, 525 University Avenue, Toronto, ON Our client is seeking a Senior Project Control Officer Key Deliverables for Senior Project Control Officer : Product Requirements : Collaborate with project managers...Senior
$69k - $129k par année
...This role provides regulatory compliance advice and direction to the... ...Issue Management Identifies, investigates, analyzes, documents, and... ...raises any issues or concerns to senior leaders and other... ...Testing, 2nd Line Chief Compliance Officer, Corporate Audit or Regulators...SeniorTemps pleinСontratTemps partiel$30 par heure
...in Canada is looking to hire Compliance Analyst - 2 for their team with... ...- 2 days/week in Toronto Office (Tuesdays and Thursdays) Typical... ...program Support the Senior Manager in the development of... ...synthesize data in order to drive investigations on potential exceptions...SeniorСontratTravail au bureauZone locale2 jours par semaine- We are seeking a Senior Project Control Officer (PCO) to provide critical support to project managers and teams in the coordination, planning, and execution of complex health workforce programs. This role requires at least 7+ years of experience in the non-profit, healthcare...SeniorContrat Longue DuréeСontrat3 jours par semaine
$150k - $210k par année
...client is seeking a seasoned professional for the role of Senior Director of Risk & Compliance. This pivotal position will be responsible for overseeing... ...range of $150k to $210k. Work in a sleek, modern office equipped with a fully stocked kitchen and premium coffee....SeniorTravail à distanceTravail au bureauZone localeHoraires flexibles$94.6k - $176k par année
...West Job Family Group: Audit Risk & Compliance The Enterprise Compliance Program... ...support the Compliance function. The Senior Compliance Manager will assist in the... ...including creating reports using Microsoft office and compliance system/GRC tools In depth...SeniorTemps pleinСontratTemps partielTravail au bureauTravail posté$87.07k par année
...Posting 25-44 Bilingual Investigator Investigations Unit, Investigations and Professional Conduct Department Permanent Position, Category 6... ...information gathered. Consult with the Manager, Investigations or Senior Investigator on the nature of the complaint and steps to...SeniorEmploi permanentStageTravail à distance- ...skills to maintain stakeholder relations with an emphasis on customer service delivery and consultation. Strong working knowledge of MS Office Suite (Outlook PowerPoint Excel and Word). Evaluation Criteria: Relevant public sector experience. Experience supporting...SeniorTemps plein
$50.21k - $54.31k par année
...About SPRINT Senior Care: We began caring for seniors and enabling... ...Reporting to the Chief Operating Officer/Privacy Officer, the Privacy and Security Compliance Analyst plays a key role in... ...assessments. Assist with the investigation of privacy incidents, documentation...SeniorTemps pleinСontratTravail au bureauSPRINT Senior Care
Toronto, ONil y a 11 heures$101k - $169k par année
...software, or finding AI-enabled ways to tackle compliance challenges, you will be at the forefront... ...be an asset ~ Confidence presenting to Senior Manager/Director-level clients ~... ...AI responsibly. Deloitte Canada has 20 offices with representation across most of the country...SeniorEmploi permanentHoraires flexibles
Voulez-vous recevoir plus d'offres d'emploi ?
S'abonner et recevoir des offres d'emploi similaires à AML Senior Compliance Officer. Soyez parmi les premiers à postuler !
- risk compliance officer Toronto, ON
- regulatory affairs associate Toronto, ON
- corporate compliance officer Toronto, ON
- analyste conformité Toronto, ON
- regulatory compliance officer Toronto, ON
- compliance coordinator Toronto, ON
- compliance officer Toronto, ON
- regulatory specialist Toronto, ON
- compliance specialist Toronto, ON
- compliance analyst Toronto, ON