Compliance Regulatory Affairs Manager

3 weeks ago

Old Toronto, Ontario, Canada Raymond James Financial Full time

Position Overview - Manager, Compliance Regulatory Affairs & Reporting

At Raymond James, we innovate, collaborate, make decisions, deliver results, and continuously enhance our processes.

Raymond James Ltd. stands as Canada's premier independent investment dealer, providing exceptional investment solutions tailored to the wealth management needs of Canadians.

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 focus will be on managing regulatory changes and compliance matters, 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 guidance 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, 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.
  • Create clear and concise 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 editing submissions before final approval.
  • Analyze data to identify trends, discrepancies, and areas for enhancement, proposing actionable solutions.
  • Lead the planning and execution of compliance projects, defining tasks, resource needs, and scopes. Coordinate with project owners, IT, and the Project Management Office.
  • Develop 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 multiple 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 greatest 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 beneficial.
  • 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 perform under pressure.
  • Advanced analytical, problem-solving, and decision-making capabilities.
  • Ability to work independently as well as collaboratively.
  • Exemplary email, videoconferencing, and telephone etiquette, along with strong relationship management skills.

We Encourage Our Associates to:

  • Advance professionally and inspire others to do the same.
  • Collaborate effectively to achieve desired outcomes.
  • Make informed, pragmatic decisions with the client in mind.
  • Take ownership and hold themselves and others accountable for delivering meaningful results.
  • Contribute to the ongoing evolution of the firm.

At Raymond James, we honor and respect the diversity of our associates. When individuals bring their authentic selves to work, our organization, clients, and communities flourish; 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). Customer 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.

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