Compliance Risk Management Professional

2 months ago

Old Toronto, Ontario, Canada Raymond James Financial Full time
Job Summary

We are seeking a highly skilled Compliance Risk Management Professional to join our team at Raymond James Financial. As a key member of our organization, you will be responsible for managing the Books & Records Governance Program, ensuring the firm meets its regulatory and business obligations, and identifying and managing responses to corporate or regulatory changes.

Key Responsibilities
  • Program Management: Define books and records requirements, propose prudent and pragmatic activities or pathways to regulatory compliance and global program alignment.
  • Stakeholder Engagement: Represent books and records interests in corporate development, transitions, and regulatory change.
  • Leadership: Engage directly with senior leaders to define books and records impacts of covered changes.
  • Project Management: Act as a stakeholder in planning and implementing projects.
  • Training and Development: Coach, train, and mentor senior leadership and less experienced associates on books and records risk assessment and impact analysis.
  • Policy Development: Direct adjustments to existing programs, policies, and procedures as required.
  • Compliance Support: Provide escalated support and guidance to compliance efforts in assigned space, including regulatory change implementation efforts.
  • Reporting and Communication: Prepare and deliver written and oral presentations to management.
  • Training Program Development: Develop compliance training programs, including maintaining training records and coordinating training with other compliance activities.
  • Reporting and Communication: Report compliance program status and activities to compliance and business management.
  • Issue Identification: Inform Senior Compliance Management about issues that may involve rule violations or potential liability.
  • Control Implementation: Assist management in implementing adequate controls and quality assurance processes to detect and address potential compliance problems.
Requirements
  • Experience: Minimum of five years of relevant experience at a broker dealer in compliance, governance risk management, audit, and/or project management.
  • Knowledge: Fundamental investment concepts, practices, and procedures used in the securities industry.
  • Education: In-depth knowledge of business and Canadian regulatory environment; completion of a Canadian Securities Course is desirable.
  • Skills: Excellent written, verbal, and interpersonal communication skills.
  • Skills: Strong analytical thinking and critical reasoning skills with a strong attention to detail.
  • Skills: Strong multi-tasking ability, capacity to work autonomously and in a team; ability to handle and successfully meet established deadline requirements.
  • Software Skills: Proficiency with MS Office (focusing on Word, Excel, PowerPoint, Outlook).
What We Offer

We offer a competitive compensation and benefits package, including Health Benefits, RRSP Matching Program, Employee Stock Purchase Plan, Paid Time Off, Volunteer Days, Discretionary Bonuses, Tuition Reimbursement, and more. We also support internal promotion and community involvement.

We encourage our associates to grow professionally and inspire others to do the same. We value and 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 based on merit and business needs.

  • Compliance and Risk Management Professional

    2 weeks ago

    Old Toronto, Ontario, Canada TalentEgg Full time

    Job Title: Manager of Privacy & RiskWomen's College Hospital is seeking a highly experienced and results-oriented Manager of Privacy & Risk to join our Quality, Safety and Patient Experience Department. As a key member of our team, you will be responsible for developing, implementing, and overseeing privacy policies and risk management strategies to ensure...

  • Compliance and Risk Management Director

    4 weeks ago

    Old Toronto, Ontario, Canada TD Full time

    Job Title: Compliance and Risk Management DirectorTD Securities is seeking a highly skilled Compliance and Risk Management Director to join our team. As a key member of our organization, you will be responsible for leading the development and implementation of effective compliance and risk management strategies.Key Responsibilities:Develop and implement...

  • Compliance and Risk Management Director

    4 weeks ago

    Old Toronto, Ontario, Canada TD Full time

    Job Title: Compliance and Risk Management DirectorTD Securities is seeking a highly skilled Compliance and Risk Management Director to join our team. As a key member of our organization, you will be responsible for leading the development and implementation of effective compliance and risk management strategies.Key Responsibilities:Develop and implement...

  • Risk and Compliance Professional

    1 month ago

    Toronto, Ontario, Canada QuadReal Full time

    About QuadReal Property GroupQuadReal Property Group is a global real estate investment, operating, and development company headquartered in Vancouver, British Columbia. With a total of $77.6 billion in assets under management, the company has expanded its capabilities to invest in equity and debt in both public and private markets.The company seeks to...

  • Risk Management and Compliance Professional

    2 months ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    About the RoleFidelity Investments is seeking a highly skilled Business Risk Management professional to join our team. As a key member of our organization, you will play a critical role in identifying and mitigating risks that could impact our business.Key ResponsibilitiesDevelop and implement risk management strategies to ensure compliance with regulatory...

  • Risk Management and Compliance Professional

    4 weeks ago

    Toronto, Ontario, Canada Fidelity Investments Full time

    About the RoleFidelity Investments is seeking a highly skilled Business Risk Management professional to join our team. As a key member of our organization, you will play a critical role in identifying and mitigating risks that could impact our business.Key ResponsibilitiesDevelop and implement risk management strategies to ensure compliance with regulatory...

  • Compliance and Risk Management Director

    2 weeks ago

    Old Toronto, Ontario, Canada https:www.energyjobline.comsitemap Full time

    Job Title: Compliance and Risk Management DirectorAre you a seasoned professional with a passion for compliance and risk management?We're seeking a highly skilled and experienced Compliance and Risk Management Director to join our team at Scotiabank.Key Responsibilities:Lead and drive a client-focused culture throughout your team to deepen client...

  • Compliance and Risk Management Professional

    2 months ago

    Toronto, Ontario, Canada Scotiabank Full time

    About the RoleWe are seeking a highly skilled and experienced professional to join our Scotia iTRADE Account Supervision team in Canada. As a Senior Account Management Officer, you will play a critical role in ensuring the overall success of the team by executing individual goals, plans, and initiatives in support of the team's business strategies and...

  • Compliance and Risk Management Professional

    2 months ago

    Toronto, Ontario, Canada Scotiabank Full time

    About the RoleWe are seeking a highly skilled and experienced professional to join our Scotia iTRADE Account Supervision team in Canada. As a Senior Account Management Officer, you will play a critical role in ensuring the overall success of the team by executing individual goals, plans, and initiatives in support of the team's business strategies and...

  • Risk Management Professional

    3 weeks ago

    Toronto, Ontario, Canada Cavell Risk, Inc. Full time

    Job DescriptionThe Manager, Client Experience plays a critical role in ensuring the delivery of exceptional insurance brokerage services to clients. As the primary point of contact, they foster strong relationships, guarantee customer satisfaction, and provide strategic support to the sales and marketing efforts.Key ResponsibilitiesOversee the delivery of...

  • Risk Management Professional

    3 weeks ago

    Toronto, Ontario, Canada Cavell Risk, Inc. Full time

    Job DescriptionThe Manager, Client Experience plays a critical role in ensuring the delivery of exceptional insurance brokerage services to clients. As the primary point of contact, they foster strong relationships, guarantee customer satisfaction, and provide strategic support to the sales and marketing efforts.Key ResponsibilitiesOversee the delivery of...

  • Compliance Risk Management Director

    2 weeks ago

    Old Toronto, Ontario, Canada American Express Services Europe Limited Full time

    Job DescriptionAs a key member of the Compliance leadership team at American Express Services Europe Limited, you will play a critical role in ensuring the effective management of compliance risk in accordance with local market legal and regulatory requirements and internal American Express policy.The Director of Compliance Risk Management and Head of...

  • IT Risk and Compliance Specialist

    2 months ago

    Old Toronto, Ontario, Canada Smart Communications group Full time

    Company Overview: Smart Communications Group is a prominent provider of innovative software solutions and technology services aimed at enhancing operational efficiency and productivity for professionals in various sectors. Our organization delivers essential information services and workflows that clients utilize to navigate their processes, information...

  • IT Risk and Compliance Specialist

    4 weeks ago

    Old Toronto, Ontario, Canada Smart Communications group Full time

    Company Overview: Smart Communications Group is a prominent provider of innovative software solutions and technology services aimed at enhancing operational efficiency and productivity for professionals in various sectors. Our organization delivers essential information services and workflows that clients utilize to navigate their processes, information...

  • Director, Regulatory Compliance and Risk Management

    3 weeks ago

    Old Toronto, Ontario, Canada Scotiabank Full time

    Job Title: Director, Regulatory Compliance and Risk ManagementJob Summary:We are seeking a highly experienced and skilled Director, Regulatory Compliance and Risk Management to join our team at Scotiabank. As a key member of our organization, you will be responsible for leading our regulatory compliance and risk management efforts, ensuring that our business...

  • Director, Regulatory Compliance and Risk Management

    3 weeks ago

    Old Toronto, Ontario, Canada Scotiabank Full time

    Job Title: Director, Regulatory Compliance and Risk ManagementJob Summary:We are seeking a highly experienced and skilled Director, Regulatory Compliance and Risk Management to join our team at Scotiabank. As a key member of our organization, you will be responsible for leading our regulatory compliance and risk management efforts, ensuring that our business...

  • Risk and Compliance Director

    2 weeks ago

    Old Toronto, Ontario, Canada HomEquity Bank Full time

    Job Title: Director of Risk and ComplianceHomeEquity Bank is seeking a seasoned professional to lead its risk and compliance efforts in the launch and operation of a new lending venture. The ideal candidate will bring expertise in risk and compliance management within financial services, with a strong knowledge of regulatory requirements and frameworks.Key...

  • Compliance and Risk Management Director

    2 weeks ago

    Old Toronto, Ontario, Canada Amex Full time

    Lead Compliance and Risk Management at AmexAs a key member of the Amex team, you will play a critical role in shaping the company's compliance and risk management strategy. Reporting to the Vice President - Chief Compliance Officer, you will be responsible for leading compliance oversight and strategic leadership to multiple stakeholders and matters within...

  • Risk and Compliance Director

    3 weeks ago

    Old Toronto, Ontario, Canada HomeEquity Bank Full time

    Director of Risk and ComplianceHomeEquity Bank is seeking a seasoned professional to lead our risk and compliance efforts in our new lending venture. As Director of Risk and Compliance, you will play a critical role in ensuring the successful launch and operation of our new business.Key Responsibilities:Develop and implement risk management frameworks and...

  • Risk and Compliance Director

    3 weeks ago

    Old Toronto, Ontario, Canada HomeEquity Bank Full time

    Director of Risk and ComplianceHomeEquity Bank is seeking a seasoned professional to lead our risk and compliance efforts in our new lending venture. As Director of Risk and Compliance, you will play a critical role in ensuring the successful launch and operation of our new business.Key Responsibilities:Develop and implement risk management frameworks and...