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.
AML Compliance Officer
How does the role impact the organization?
As part of the Anti-Money Laundering (“AML”) Client Intelligence Unit (“CIU”), you will be primarily responsible for daily Anti-Money Laundering/Anti-Terrorist Financing, Fraud and Sanctions, (collectively, “Financial Crime Management (FCM)”) oversight and operational functions.
What will your role be responsible for?
- Conduct appropriate client due diligence through the review of client background information, and review of securities transactions, as necessary;
- Conduct daily client name screening activities and daily remediation of alerts with documented rationale, including monitoring and testing routines to detect unusual/suspicious activities and to ensure effectiveness of controls;
- Act as the primary SME for inquiries and to provide support and guidance on AML/ATF related matters under AML/ATF legislation and Canadian Investment Regulatory Organization (CIRO) rules;
- Prepare and/or submit unusual transaction reports within specified timeline;
- Administer policies and procedures to ensure compliance with regulations related to money laundering included in the Proceeds of Crime (Money Laundering) and Terrorist Financing Act (PCMLTFA);
- Other FCM compliance tasks as assigned.
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.
What do we expect from you?
Knowledge, Skills, and Abilities
Knowledge of
- Knowledge of key concepts, practices, and procedures of securities industry and/or banking compliance reviews;
- Familiar with rules and regulations of the PCMLTFA, FINTRAC Guidelines, and other AML-related regulations, rules, or guidance;
- Familiar with fundamental investment concepts, practices and procedures used in the securities industry;
- Understanding of principles of banking and finance and securities industry operations.
Skill in
- Microsoft Office with a willingness and ability to learn new applications;
- Client service and relationship management;
- Analytics and research
Ability to
- Work within deadlines in a high-volume and demanding environment while maintaining a high level of service and an imperative attention to detail;
- Demonstrate advanced face-to-face, email, videoconferencing, and telephone etiquette and relationship management skills;
- Organize and compile data to produce metrics reports;
- Exercise tact and discretion in the handling of confidential information.
Educational/Previous Experience Requirements
- A minimum of 3 years AML/ATF and/or Fraud experience within the securities industry or financial industry in Canada is preferred.
Licenses/Certifications
- CAMS certification required or ability to obtain within 6 months of hire.
We encourage our associates at all levels to:
- Grow professionally and inspire others to do the same
- Work with and through others to achieve desired outcomes
- Make prompt, pragmatic choices and act with the client in mind
- Take ownership and hold themselves and others accountable for delivering results that matter
- Contribute to the continuous evolution of the firm
At Raymond James – we honor, value, respect the uniqueness, experiences, and backgrounds of all of our Associates. When associates bring their best authentic self, our organization, clients, and communities thrive, it is part of our people-first culture. The Company is an equal opportunity employer and makes all employment decisions on the basis of merit and business needs.
Here at Raymond James we demonstrate our commitment to ensuring equal opportunities for all candidates. To request accommodations, candidates are instructed to contact Human Resources via email at [email protected]. By reaching out to this email address, candidates can communicate their specific requirements and discuss the necessary accommodations they may need to participate fully in the recruitment process.
Salary Range: BC (based on Education, Work Experience, etc) $70,000-75,000 in addition to competitive performance bonuses/incentives.
Job Auditing & Compliance
Primary Location CA-BC-Vancouver-Vancouver
Organization Compliance
Schedule Full-time
Status Permanent Full-Time
