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Compliance Regulatory Affairs Manager

2 months ago

Old Toronto, Ontario, Canada Raymond James Financial Full time

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 on the Organization

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, developing and updating internal/external website content, and providing regular updates and summaries to the AVP. Collaboration with fellow compliance professionals on various tasks and projects within the department will also be essential.

Key Responsibilities

  • Remain informed about regulatory changes 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 requirements and Raymond James standards.
  • Conduct initial reviews to ensure the completeness of submitted policy documents.
  • Develop clear and concise communications for both internal and external audiences across 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, challenging, and editing submissions before final approval.
  • Perform data analysis to identify trends, discrepancies, and areas for enhancement, proposing actionable solutions.
  • Lead project planning and execution within Compliance, defining tasks, resource needs, and project scopes. Coordinate with project owners, IT, and the Project Management Office.
  • Create project plans that include timelines, milestones, and budget forecasts.
  • Monitor project deliverables using appropriate tools and techniques to ensure quality and timely completion.
  • Provide summaries and recommendations to the AVP of Regulatory Affairs and Reporting regarding project and process advancements.
  • Collaborate with various teams and departments on diverse tasks and projects.
  • Formulate and implement Compliance communication strategies that align with departmental and organizational objectives.
  • Perform additional tasks as required.

What We Offer

Our foremost investment is in our people. Raymond James Ltd provides flexible work arrangements and a competitive compensation and benefits package. Our offerings 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

  • A 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 beneficial.
  • Certifications such as CSC, CFA, FRM, or PMP are highly valued.
  • A proven history in project management and reporting within a relevant industry.
  • 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.
  • Exemplary email, videoconferencing, and telephone etiquette, along with strong relationship management skills.

Encouragement for Associates

  • Advance professionally and inspire others to do the same.
  • Collaborate effectively to achieve desired outcomes.
  • Make prompt, 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, value, and respect the uniqueness, experiences, and backgrounds of all our associates. When associates present 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.