Manager, Compliance Governance

2 weeks ago

Toronto, Canada Raymond James Ltd. Full time
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.

Manager, Compliance Governance

How does the role impact the organization?

Reporting to the Senior Manager, Compliance Governance, key duties will include managing the Raymond James Ltd. testing, monitoring and quality control programs of internal policies, procedures, and controls.

What is the position responsible for?

  • Manage the Compliance Testing and Monitoring Program for RJL policies and procedures;(i.e. annual plan development; review of scope, execution, reporting and validation phases of the Testing and Monitoring lifecycles)
  • Provide Testing and Monitoring reporting on a regular basis, and as needed, to provide review results, emerging trends, and progress of program efforts
  • Assist in tracking testing-related findings and remediation plans;
  • Manage oversight of inventory of controls, including review of periodic updates to keep information current
  • Manage the Quality Control (QC) Program (i.e. maintenance of procedure documents, assign cases for QC Analyst review, document and report results to management, track/review QC Analyst work, and development/training of new review tasks)
  • Manage & lead a high performing team; provide ongoing feedback and performance reviews, coach and develop employees and ensure performance management activities are undertaken and provide regular input into employee assessments and development plans
  • Gather data, perform analyses, and document review results;
  • Develops reports on the status of the governance program or framework components to various internal & external stakeholder audiences;
  • Identifies emerging issues and trends to inform decision-making;
  • Develops and manages comprehensive information management systems; designs and/or leads initiatives to improve processes, analysis and reporting
  • Actively manage relationships within and across various business lines and enterprise functions
  • Prepare periodic reports for presentation to various committees, as required
  • Contribute to internal department initiatives and other internal projects, as requested


What can you expect from us?

Our most important investment is in people, 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.

To qualify for this opportunity you possess:

  • Minimum of five years of relevant experience at a Broker Dealer/Wealth Management Firm in Compliance, Governance Risk Management, Audit, and/or Project Management
  • Minimum of two years of management experience leading a team of professionals
  • Fundamental investment concepts, practices, and procedures used in the securities industry
  • In-depth knowledge of business and Canadian regulatory environment, completion of Canadian Securities Course is desirable
  • Excellent written, verbal, and interpersonal communication skills
  • Strong analytical thinking and critical reasoning skills with a strong attention to detail
  • Strong multi-tasking ability, the capacity to work autonomously and in a team; the ability to handle and successfully meet established deadline requirements
  • Work within deadlines in a high-volume and demanding environment while maintaining a high level of service and an imperative attention to detail
  • Demonstrate email, videoconferencing, and telephone etiquette and relationship management skills
  • Proficiency with MS Office (focusing on Word, Excel, PowerPoint, Outlook) with a willingness and ability to learn new applications
  • Knowledge of Dataphile and/or Oracle Mantas is desirable


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 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.

Salary Range: BC (based on Education, Work Experience, etc) in addition to competitive performance bonuses/incentives.

  • Manager, Compliance Governance

    2 weeks ago

    Toronto, Ontario, Canada Raymond James Ltd. Full time

    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.Manager, Compliance GovernanceHow does the role impact the...

  • Governance and Compliance Manager

    1 month ago

    Toronto, Canada Thentia Full time

    About Thentia Thentia is a fast-growing, venture capital-backed software as a service (SaaS) company that is emerging as a world leader in government technology with a platform that is transforming and modernizing how regulatory organizations are conducting business. A company of builders, thinkers, and owners, Thentia gives employees the opportunity to...

  • IT Governance, Risk, and Compliance Manager

    1 month ago

    Toronto, ON, Canada Fengate Asset Management Full time

    IT Governance, Risk, and Compliance Manager This role will have an exciting opportunity to be responsible for the implementation and on-going management of an ISO 27001 program and additional IT policies and procedures. The IT Governance, Risk, and Compliance (GRC) Manager will be responsible for assessing, documenting, and strengthening the...

  • IT Governance, Risk, and Compliance Manager

    1 month ago

    Old Toronto, Canada Fengate Asset Management Full time

    IT Governance, Risk, and Compliance ManagerThis role will have an exciting opportunity to be responsible for the implementation and on-going management of an ISO 27001 program and additional IT policies and procedures.The IT Governance, Risk, and Compliance (GRC) Manager will be responsible for assessing, documenting, and strengthening the institution’s...

  • IT Governance, Risk, and Compliance Manager

    1 month ago

    Old Toronto, Canada Fengate Asset Management Full time

    IT Governance, Risk, and Compliance ManagerThis role will have an exciting opportunity to be responsible for the implementation and on-going management of an ISO 27001 program and additional IT policies and procedures.The IT Governance, Risk, and Compliance (GRC) Manager will be responsible for assessing, documenting, and strengthening the institution’s...

  • IT Governance, Risk, and Compliance Manager

    1 month ago

    Old Toronto, Canada Fengate Asset Management Full time

    IT Governance, Risk, and Compliance ManagerThis role will have an exciting opportunity to be responsible for the implementation and on-going management of an ISO 27001 program and additional IT policies and procedures.The IT Governance, Risk, and Compliance (GRC) Manager will be responsible for assessing, documenting, and strengthening the institution’s...

  • Manager, Governance, Risk and Compliance

    1 month ago

    Toronto, Canada HashiCorp Full time

    **Manager, Governance, Risk & Compliance**: **About the Role**: We're looking for a GRC manager to lead, develop and mature the commercial compliance (SOC 2 Type 2, ISO 27001/17/18) and policy/controls programs at HashiCorp. This role will be heavily focused on scaling, automating, and managing compliance capabilities across HashiCorp. We're looking for a...

  • Head of governance, Compliance

    3 days ago

    Toronto, ON, Canada Winchesters Incorporated Full time

    Manager of Risk and Governance Toronto, ON/Hybrid We are looking to hire an experienced full-time Manager of Risk and Governance for our client, who is a large financial services organization. The Manager will oversee the company’s contracts and policies. This role will involve completing regular SOC and B10 reports for OSFI compliance. A chance...

  • Governance, Compliance and Risk Specialist

    7 hours ago

    Toronto, Canada reSolved Full time

    **Governance, Compliance and Risk Specialist** **Canada (Remote)** About reSolved **We partner with organizations that do good, so they can be better. Because we believe there is always a better way. **Our clients have a clear purpose and vision. They are the leaders, innovators, allies, and dynamos solving society’s complex challenges and making the...

  • Head of governance, Compliance

    21 hours ago

    Toronto, ON, Canada Winchesters Incorporated Full time

    Manager of Risk and GovernanceToronto, ON/HybridWe are looking to hire an experienced full-time Manager of Risk and Governance for our client, who is a large financial services organization. The Manager will oversee the company’s contracts and policies. This role will involve completing regular SOC and B10 reports for OSFI compliance. As a Manager, you...

  • Compliance Manager

    4 weeks ago

    Toronto, Canada BMW Full time

    KNOW THE RULES. ENABLE OPPORTUNITIES. SHARE YOUR PASSION. Few, if any, automobile manufacturers have a distinct, continuous character and a consistent personality. BMW does. At BMW we are always striving, working, empowering, changing, creating and thinking. Our culture allows us to translate passion into energy, empowerment into innovative ideas and high...

  • Analyst - Governance, Risk & Compliance

    1 week ago

    Toronto, ON, Canada Mattermost Inc Full time €90,000 - €130,000

    Mattermost provides secure, workflow-centric collaboration for technical and operational teams that need to meet nation-state-level security and trust requirements. Our self-hosted and cloud offerings provide integrated workflow automation, AI-acceleration, ChatOps with team messaging, audio calling and screen share on an open core platform vetted and...

  • Senior Manager Governance, Risk

    1 month ago

    Toronto, Canada Canadian National Railway Full time

    At CN, we work together to move our company-and North America-forward. Be part of our Information & Technology (I&T) team, a critical piece of the engine that keeps us in motion. From enterprise architecture to operational technology, our teams use the agile methodology to automate and digitize our railroad ensuring our operations run optimally and safely...

  • Senior Manager Governance, Risk

    1 month ago

    Toronto, Canada Canadian National Railway Full time

    At CN, we work together to move our company—and North America—forward. Be part of our Information & Technology (I&T) team, a critical piece of the engine that keeps us in motion. From enterprise architecture to operational technology, our teams use the agile methodology to automate and digitize our railroad ensuring our operations run optimally and...

  • Senior Manager Governance, Risk

    1 month ago

    Toronto, Canada Canadian National Railway Full time

    At CN, we work together to move our company-and North America-forward. Be part of our Information & Technology (I&T) team, a critical piece of the engine that keeps us in motion. From enterprise architecture to operational technology, our teams use the agile methodology to automate and digitize our railroad ensuring our operations run optimally and safely...

  • Senior Manager Governance, Risk

    1 month ago

    Toronto, Canada Canadian National Railway Full time

    At CN, we work together to move our company—and North America—forward. Be part of our Information & Technology (I&T) team, a critical piece of the engine that keeps us in motion. From enterprise architecture to operational technology, our teams use the agile methodology to automate and digitize our railroad ensuring our operations run optimally and...

  • Compliance Governance

    5 days ago

    Toronto, Ontario, Canada TD Bank Full time

    Work Location:Toronto, Ontario, CanadaHours:37.5Line of Business:CompliancePay Details:We're committed to providing fair and equitable compensation to all our colleagues. As a candidate, we encourage you to have an open dialogue with a member of our HR Team and ask compensation related questions, including pay details for this role.Job Description:KEY...

  • IT Governance Manager

    1 month ago

    Toronto, Canada Northbridge Financial Corporation Full time

    Nous sommes la Financière Northbridge. Nous sommes fiers d’être une société canadienne à 100 %, détenue en propriété exclusive par Fairfax Financial. Nous offrons nos services par l’entremise de nos marques Northbridge Assurance, Les assurances Federated et TruShield Assurance. Nous sommes reconnus comme étant l’une des plus importantes...

  • Manager, Data Governance

    7 days ago

    Toronto, ON, Canada Randstad Digital Full time

    Data Governance Specialist Contract position Contract position, 2days/week onsite Must be bilingual for Montreal location, or English for Toronto / Mississauga 7hrs/day billing You must have a good understanding of data governance principles, such as data quality, data compliance, data accessibility and data governance accountabilities. We are looking...

  • Senior Manager Governance, Risk

    4 weeks ago

    Toronto, ON, Canada Canadian National Railway Full time

    At CN, we work together to move our company—and North America—forward. Be part of our Information & Technology (I&T) team, a critical piece of the engine that keeps us in motion. From enterprise architecture to operational technology, our teams use the agile methodology to automate and digitize our railroad ensuring our operations run optimally and...