About this role
Compliance Officer at Raymond James Ltd.. Location: Toronto, Ontario, Canada. Role: monitor trades, respond requests, approve trade issues Requirements: Compliance professional with securities industry experience; strong communication; MS Office; CSC/CPH coursework or willingness to complete within 1 year; options licensing preferred. Category: Legal and Compliance Seniority: Mid Level Tools: Microsoft Word, Microsoft Excel, Microsoft Outlook, Dataphile Certifications: canadian securities course, conduct and practices handbook (cph), options licensing, options supervisors, csi courses Commitment: Full Time Workplace: Onsite Languages: English