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Senior Manager, Insurance and Financial Planning Compliance Expert

2 months ago

Old Toronto, Ontario, Canada Raymond James Financial Full time
Job Title: Senior Manager, Insurance and Financial Planning Compliance

At Raymond James, we are seeking a highly skilled Senior Manager to lead our compliance and supervision program for our Financial Planning, Insurance, and Tax Preparation business units.

Key Responsibilities:

  • Develop and maintain policies and procedures to ensure compliance with regulatory requirements;
  • Collaborate with the Compliance Governance monitoring and testing program to ensure effective controls are in place;
  • 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 as appropriate to Compliance and business leadership.

Requirements:

  • An 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;
  • Showcase strong technical knowledge;
  • Establish and maintain effective and cooperative relationships amongst both Compliance as well as to collaborate with Business team members; and to work independently.

What We Offer:

  • A competitive compensation and benefits package;
  • Flexible workstyles;
  • Opportunities for professional growth and development;
  • A collaborative and dynamic work environment;
  • A commitment to diversity, equity, and inclusion.

How to Apply:

Please submit your application, including your resume and cover letter, to [insert contact information].