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Compliance Regulatory Affairs Manager
2 months ago
Position Overview - Manager, Compliance Regulatory Affairs & Reporting
At Raymond James, we innovate, collaborate, decide, deliver, and enhance together.
Raymond James Ltd. stands as Canada's premier independent investment dealer, providing exceptional investment products and services tailored to Canadians seeking personalized solutions for their wealth management objectives.
Role Impact:
We are in search of a Compliance Manager to join our dedicated team. Reporting directly to the AVP of Regulatory Affairs and Reporting, your primary responsibilities will encompass managing regulatory changes and affairs, drafting and maintaining compliance policies, compiling compliance and board reports, crafting compliance communications, and developing as well as updating internal and external website content. You will also collaborate closely with fellow compliance professionals on various departmental tasks and projects.
Key Responsibilities:
- Stay informed on regulatory developments and trends, providing insights on compliance strategies and impact assessments.
- Compile submissions and conduct thorough reviews of the Regulatory Clearinghouse process.
- Prepare, review, edit, and finalize output packages for the Regulatory Clearinghouse process, ensuring timely feedback to participants.
- Update and maintain internal policies and procedures to align with regulatory standards and Raymond James expectations.
- Conduct initial reviews to ensure the completeness of submitted policy documents.
- Develop clear and effective communications for diverse audiences through various channels.
- Maintain and update content on internal and external websites to reflect current regulatory and compliance information.
- Oversee compliance reports, board reports, and other documentation, reviewing and refining submissions for leadership approval.
- Perform data analysis to identify trends, discrepancies, and areas for enhancement, proposing actionable solutions.
- Lead compliance project planning and execution, defining tasks, resource needs, and project scopes. Coordinate with compliance project owners, IT, and the Project Management Office.
- Create project plans that include timelines, milestones, and budget forecasts.
- Monitor project deliverables using appropriate tools to ensure quality and timely completion.
- Provide summaries and recommendations to the AVP of Regulatory Affairs and Reporting regarding project and process progress.
- Collaborate with various teams and departments on diverse tasks and projects.
- Develop and implement compliance communication strategies that align with departmental and organizational objectives.
- Perform additional tasks as required.
What We Offer:
Our most significant investment is in our people. Raymond James Ltd. provides flexible work arrangements and a competitive compensation and benefits package. Our benefits include Health Benefits, RRSP Matching Program, Employee Stock Purchase Plan, Paid Time Off, Volunteer Days, Discretionary Bonuses, Tuition Reimbursement, and more. We also promote internal advancement and community engagement.
Qualifications:
- Bachelor's degree in Business Administration, Project Management, or a related field is required.
- An MBA or other advanced degree is advantageous.
- A legal background or degree is a plus.
- Certifications such as CSC, CFA, FRM, or PMP are highly valued.
- Demonstrated experience in project management and reporting within a relevant sector.
- Strong organizational skills are essential.
- Proficiency in MS Office, particularly Excel, Word, Outlook, and PowerPoint.
- Excellent oral and written communication skills.
- Ability to manage tight deadlines and work effectively under pressure.
- Advanced analytical, problem-solving, and decision-making capabilities.
- Ability to work independently as well as collaboratively within a team.
- Exhibit professionalism in email, videoconferencing, and telephone interactions.
Encouragement for Associates:
- Foster professional growth and inspire others.
- Collaborate effectively to achieve desired outcomes.
- Make informed, pragmatic decisions with the client in mind.
- Take ownership and hold oneself and others accountable for delivering meaningful results.
- Contribute to the ongoing evolution of the firm.
At Raymond James, we honor and respect the unique experiences and backgrounds of all our associates. When associates bring their authentic selves, our organization, clients, and communities thrive; this is integral to our people-first culture. The Company is an equal opportunity employer, making all employment decisions based on merit and business needs.
Raymond James Ltd. is a member of the Investment Industry Regulatory Organization of Canada (IIROC) and the Canadian Investor Protection Fund (CIPF). Customers' accounts are protected by the Canadian Investor Protection Fund within specified limits. A brochure detailing the nature and limits of coverage is available upon request.
