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Manager, Compliance Governance

3 months ago

Toronto, Ontario, Canada Raymond James Financial, Inc. Full time

Manager, Compliance Governance

  • 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 testingrelated 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 decisionmaking;
  • 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
  • Indepth 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 multitasking 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 highvolume and demanding environment while maintaining a high level of service and an imperative attention to detail
  • 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.


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

Job Compliance

Primary Location CA-ON-Toronto-Toronto

Organization Compliance

Schedule Full-time

Status Permanent Full-Time