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About the Role
The Manager, Information Compliance Risk Management (ICRM) will support three Compliance Programs: Privacy, Books & Records, and IT Compliance. This role involves managing programs to meet regulatory and business obligations, responding to regulatory changes, and solving complex problems independently.
Responsibilities
- Define and oversee Compliance Program requirements and establish strategies for sustainable regulatory compliance and enterprise alignment.
- Support the ICRM Compliance Risk Assessments, impact analyses, and remediation initiatives for regulatory and business changes.
- Represent the ICRM Program interests in enterprise projects, corporate initiatives, audits, and regulatory examinations.
- Partner with stakeholders to evaluate compliance implications and drive informed business decisions.
- Manage and execute complex projects and strategic initiatives with minimal supervision.
- Provide leadership, coaching, mentoring, and development support to team members and business stakeholders.
- Direct the development, implementation, and enhancement of policies, procedures, standards, and controls.
- Provide guidance on complex compliance matters and regulatory interpretations.
- Prepare and deliver executive-level presentations, reporting, and recommendations.
- Support management in establishing ICRM related quality assurance and control frameworks.
- Execute ICRM monitoring, reporting, training, and awareness activities.
- Identify emerging risks and proactively recommend mitigation strategies.
- Influence cross-functional stakeholders to achieve compliance objectives and regulatory readiness.
- Inform Senior Compliance Management about issues and potential regulatory exposures.
- Lead a team of compliance professionals, manage team workload, and performance and provide guidance and subject matter expertise.
- Perform other duties and responsibilities as assigned.
Requirements
- Minimum 5 years of relevant experience in compliance, governance, risk management, audit, privacy, or project management within a regulated financial services environment.
- Demonstrated experience leading direct reports and cross-functional teams and strategic initiatives.
- Strong knowledge of Canadian regulatory requirements, privacy legislation, compliance frameworks, and governance practices.
- Solid understanding of securities industry concepts and broker-dealer operations.
- Proven ability to influence senior leadership and navigate complex organizational environments.
- Advanced proficiency with Microsoft Office applications, particularly Word, Excel, PowerPoint, and Outlook.
- Associates at all levels are encouraged to grow professionally and inspire others, 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, and contribute to the continuous evolution of the firm.
Skills
- Canadian Securities Course (CSC) considered an asset
- Exceptional written, verbal, presentation, and stakeholder management skills.
- Strong analytical, problem-solving, and decision-making capabilities.
Location
- Canada
Work Type
- Flexible workstyles
Experience Level
- Minimum 5 years of relevant experience
Salary/Compensations
- $105,000 - $120,000 annually
Benefits
- Flexible workstyles
- Competitive compensation and benefits package
- Health Benefits
- RRSP Matching Program
- Employee Stock Purchase Plan
- Paid Time Off
- Volunteer Days
- Discretionary Bonuses
- Tuition Reimbursement
About the Company
- 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.
- At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together.
- Our most important investment is in people.
- We also support internal promotion and community involvement.
- 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.
Equal Opportunity
- 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 recruitment@raymondjames.ca. 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.
- We may use automated or AI-enabled tools to support parts of our recruitment and screening process, including screening, assessing or selecting applicants where applicable. These tools help us review applications efficiently, but they do not replace human decision-making.