Senior Manager, Insurance and Financial Planning Compliance Specialist

6 days ago

Old Toronto, Ontario, Canada Raymond James Financial Full time
About the Role

We are seeking a highly skilled and experienced Senior Manager to lead our Compliance Oversight program for Financial Planning, Insurance, and Tax Preparation business units. As a key member of our Compliance team, you will be responsible for ensuring the effectiveness and efficiency of our compliance programs in preventing, identifying, and correcting non-conformance with applicable insurance and financial planning policies and regulations.

Key Responsibilities
  • Lead the development and maintenance of policies and procedures for Financial Planning, Insurance, and Tax Preparation business units.
  • Collaborate with the Compliance Governance monitoring and testing program to ensure regulatory requirements are met.
  • Work closely with the Branch Review team and Financial Planning subject matter expert to ensure compliance with regulatory requirements.
  • Map regulatory requirements and associated controls, and monitor for regulatory changes.
  • Interact and lead relationship management with regulators and internal and external auditors.
  • Provide regular reporting and escalation of issues to Compliance and business leadership.
Requirements
  • Undergraduate university degree.
  • Successful completion of the LLQP, PFP/CFP, and CSC.
  • Minimum of 5 years of Compliance, Risk, or Legal experience with a focus on insurance and financial planning.
  • Knowledge of Canadian Provincial and Territorial Insurance Standards and Regulations.
  • Understanding of FP Canada Standards and Regulations.
  • Experience with Canadian personal, corporate, and trust income tax preparation process would be considered an asset.
  • Ability to communicate in both official languages (English and French) would be considered an asset.
  • Strong technical knowledge and ability to establish and maintain effective relationships with Compliance and business team members.
About Us

At Raymond James Financial, we value our associates and strive to create a work environment that is inclusive, diverse, and supportive. We offer a competitive compensation and benefits package, flexible workstyles, and opportunities for professional growth and development.

We are an equal opportunity employer and make all employment decisions on the basis of merit and business needs. We are committed to ensuring equal opportunities for all candidates and provide accommodations as needed to participate fully in the recruitment process.

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