Manager, Compliance Governance

2 weeks ago

Toronto, Canada Raymond James Financial, Inc. Full time

**Manager, Compliance Governance**
- 2401571
- 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
- 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

  • Manager, Compliance Governance

    3 days 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...

  • Manager, Compliance Governance

    2 days 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 GovernanceHow does the role impact the...

  • IT Governance, Risk, and Compliance Manager

    4 weeks 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

    3 weeks 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

    4 weeks 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

    4 weeks 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...

  • Surveillance and Governance Compliance Officer

    2 weeks ago

    Toronto, ON, Canada Canadian Imperial Bank of Commerce Full time

    Surveillance and Governance Compliance Officer page is loaded Surveillance and Governance Compliance Officer Apply locations Toronto, ON time type Full time posted on Posted Yesterday job requisition id 2410339 We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing...

  • Director, Governance, Compliance and Performance

    4 weeks ago

    Toronto, Canada BGIS Full time

    **ABOUT US** **OUR CULTURE** At BGIS, our culture is built on three foundational pillars: - **Culture of Care**:We deeply care for each other, our clients, partners, and the communities we serve. - **High Performing Teams**:We go Above and Beyond to deliver exceptional services. INTEGRITY, OWNERSHIP, RESPONSIVENESS, INITIATION, VISIBILITY, DRIVE, and...

  • Senior Manager Governance, Risk

    3 weeks 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

    4 weeks 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

    4 weeks 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

    4 weeks 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

    3 weeks 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

    3 weeks 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

    3 weeks 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...

  • Governance, Risk and Compliance Specialist, Cyber

    5 days ago

    Toronto, Canada BMO Financial Group Full time

    250 Yonge Street Toronto Ontario,M5B 2L7 As Governance, Risk and Compliance specialist, you will support the Cyber Security Center of Excellence in the effective implementation, maintenance and administration of first line of defense (1st LOD) programs (e.g., operational risk, compliance, regulatory, etc. Contributes to a strong risk management culture...

  • Senior Manager Governance, Risk

    3 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...

  • Senior Manager Governance, Risk

    3 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...

  • Director, Governance, Compliance and Performance Management

    3 weeks ago

    Toronto, ON, Canada BGIS Full time

    Job Description: ABOUT US BGIS is a leading provider of customized facility management and real estate services. With a combined team of over 10,000 professionals worldwide, we relentlessly focus on enabling innovation through the services we deliver. We actively seek new opportunities that drive innovation for our clients' businesses. Globally,...

  • Director, Governance, Compliance and Performance Management

    3 weeks ago

    Old Toronto, Canada BGIS Full time

    Job Description: ABOUT US BGIS is a leading provider of customized facility management and real estate services. With a combined team of over 10,000 professionals worldwide, we relentlessly focus on enabling innovation through the services we deliver. We actively seek new opportunities that drive innovation for our clients' businesses. Globally, we manager...