Manager, Insurance and Financial Planning Compliance

2 weeks ago


Toronto, Canada Raymond James Financial Full time

**Manager, Insurance and Financial Planning Compliance**
- 2203808

**Job Summary**

Raymond James Ltd. (“RJL”) is Canada’s leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.

Based in Vancouver, Toronto, or Montreal, the Manager must be able to independently navigate through applicable policies and regulations. As required, the Manager will also participate in and/or lead compliance projects, and act as a key resource in these areas to provide coaching to members of the Compliance team, and where required, assist with managing internal and regulatory audits, client complaints and investigations.

**Essential Duties and Responsibilities**
- Lead the compliance and supervision program for RJL’s Financial Planning, Insurance, and Tax Preparation business units, including:

- development and maintenance of policies and procedures;
- inclusion and collaboration with the Compliance Governance monitoring and testing program;
- mapping of regulatory requirements and associated controls, as well as ongoing monitoring for regulatory changes;
- interaction and, at times, lead relationship management with regulators and internal and external auditors; and
- regular reporting and escalation of issues as appropriate to Compliance and business leadership.
- Active collaboration and support of business leadership and units, with a pragmatic approach to problem-solving and new and changed business initiative reviews;
- Provide expert regulatory advice on applicable laws, regulations, and policies; and
- Perform other duties as assigned by the CCO or other compliance VPs.

**Knowledge, Skills and Abilities**

**Knowledge of**:

- Canadian tax preparation process would be considered an asset.

**Skills in**:

- Verbal, written and interpersonal communication.

**Ability to**:

- Communicate in both official languages (English and French) would be considered an asset;
- Showacase strong technical knowledge;
- Pay strict attention to detail;
- To establish and maintain effective and cooperative relationships amongst both Compliance as well as to collaborate with Business team members; and
- to work independently.

**Educational/Previous Experience Requirements**:

- An undergraduate university degree; and
- Minimum of 5 years of Compliance, Risk or Legal experience with a focus on insurance and financial planning.

**Licenses/Certifications**:

- Successful completion of the LLQP, PFP/CFP and CSC.

While some degree of hybrid workstyle may be utilized, this position is ideally best suited to regular in-office attendance. Some business travel to branch locations or corporate officers may be expected.

**Job** Compliance

**Primary Location** CA-ON-Toronto-Toronto

**Other Locations** CA-BC-Vancouver-Vancouver, CA-QC-Montreal-Montréal

**Organization** Compliance

**Schedule** Full-time

**Status** Permanent Full-Time



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