VP, Trading Compliance & UMIR Surveillance

Raymond James Ltd. is a leading Canadian independent investment dealer known for high-quality products and customized wealth management solutions. The Vice President, Trading Compliance will oversee trade compliance and surveillance for the Private Client Group, acting as UMIR subject-matter expert and guiding advisors and supervisors across the organization. The role focuses on safeguarding market integrity, regulatory risk management, and evolving the compliance program.

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