Manager, Compliance Governance
Top Benefits
About the role
At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together .
Raymond James Ltd. is Canada’s leading independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.
Manager, Compliance Governance How does the role impact the organization? Reporting to the Senior Manager, Compliance Governance, key duties will include managing the Raymond James Ltd. testing, monitoring and quality control programs of internal policies, procedures, and controls.
What is the position responsible for?
- Manage the Compliance Testing and Monitoring Program for RJL policies and procedures;(i.e. annual plan development; review of scope, execution, reporting and validation phases of the Testing and Monitoring lifecycles)
- Provide Testing and Monitoring reporting on a regular basis, and as needed, to provide review results, emerging trends, and progress of program efforts
- Assist in tracking testing-related findings and remediation plans;
- Manage oversight of inventory of controls, including review of periodic updates to keep information current
- Manage the Quality Control (QC) Program (i.e. maintenance of procedure documents, assign cases for QC Analyst review, document and report results to management, track/review QC Analyst work, and development/training of new review tasks)
- Manage & lead a high performing team; provide ongoing feedback and performance reviews, coach and develop employees and ensure performance management activities are undertaken and provide regular input into employee assessments and development plans
- Gather data, perform analyses, and document review results;
- Develops reports on the status of the governance program or framework components to various internal & external stakeholder audiences;
- Identifies emerging issues and trends to inform decision-making;
- Develops and manages comprehensive information management systems; designs and/or leads initiatives to improve processes, analysis and reporting
- Actively manage relationships within and across various business lines and enterprise functions
- Prepare periodic reports for presentation to various committees, as required
- Contribute to internal department initiatives and other internal projects, as requested
What can you expect from us? Our most important investment is in people, Raymond James Ltd offers flexible workstyles, a competitive compensation and benefits package. Our benefits range from Health Benefits, RRSP Matching Program, Employee Stock Purchase Plan, Paid Time Off, Volunteer Days, Discretionary Bonuses, Tuition Reimbursement and many more! We also support internal promotion and community involvement.
To qualify for this opportunity you possess:
- Minimum of five years of relevant experience at a Broker Dealer/Wealth Management Firm in Compliance, Governance Risk Management, Audit, and/or Project Management
- Minimum of two years of management experience leading a team of professionals
- Fundamental investment concepts, practices, and procedures used in the securities industry
- In-depth knowledge of business and Canadian regulatory environment, completion of Canadian Securities Course is desirable
- Excellent written, verbal, and interpersonal communication skills
- Strong analytical thinking and critical reasoning skills with a strong attention to detail
- Strong multi-tasking ability, the capacity to work autonomously and in a team; the ability to handle and successfully meet established deadline requirements
- Work within deadlines in a high-volume and demanding environment while maintaining a high level of service and an imperative attention to detail
- Demonstrate email, videoconferencing, and telephone etiquette and relationship management skills
- Proficiency with MS Office (focusing on Word, Excel, PowerPoint, Outlook) with a willingness and ability to learn new applications
- Knowledge of Dataphile and/or Oracle Mantas is desirable
We encourage our associates at all levels to:
- Grow professionally and inspire others to do the same
- Work with and through others to achieve desired outcomes
- Make prompt, pragmatic choices and act with the client in mind
- Take ownership and hold themselves and others accountable for delivering results that matter
- Contribute to the continuous evolution of the firm
At Raymond James – we honor, value, 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 on the basis of merit and business needs.
Here at Raymond James we demonstrate our commitment to ensuring equal opportunities for all candidates. To request accommodations, candidates are instructed to contact Human Resources via email at recruitment@raymondjames.ca. By reaching out to this email address, candidates can communicate their specific requirements and discuss the necessary accommodations they may need to participate fully in the recruitment process.
Salary Range: BC (based on Education, Work Experience, etc) $85,000-105,000 in addition to competitive performance bonuses/incentives.
Job Compliance
Primary Location CA-ON-Toronto-Toronto
Other Locations CA-BC-Vancouver-Vancouver
Organization Compliance
Schedule Full-time
Status Permanent Full-Time
About Raymond James Ltd.
Raymond James Ltd., the Canadian subsidiary of Raymond James Financial, Inc., has a rich history dating back to its establishment in 1962. Our parent company, which went public in 1983, is listed on the New York Stock Exchange under the ticker symbol RJF.
In 2000, Raymond James Financial, Inc. acquired Goepel McDermid Inc., subsequently rebranding it as Raymond James Ltd. Our legacy companies have been serving Canadian investors for nearly eight decades.
In 2016, Raymond James Ltd. further expanded its reach by acquiring 3Macs (MacDougall, MacDougall & MacTier Inc.), a distinguished investment firm founded in 1849, predating Canada’s Confederation. This acquisition significantly bolstered our private client business, integrating 72 advisors and over CAD 6 billion in client assets, thereby establishing the combined entity as Canada’s largest independent investment dealer.
Raymond James Ltd. is proud to be a member the Canadian Investor Protection Fund (CIPF).
Our vision – to be a firm as unique as the people we serve – guides us as we work to gain an even deeper understanding of what makes each of us unique and of what unites us. This principle guides our business at every level, including how we attract talented people and support their personal goals and professional development. When we welcome and embrace diverse experiences, perspectives and points of view in the workplace, it leads to more innovation, creativity and collaboration.
Manager, Compliance Governance
Top Benefits
About the role
At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together .
Raymond James Ltd. is Canada’s leading independent investment dealers offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.
Manager, Compliance Governance How does the role impact the organization? Reporting to the Senior Manager, Compliance Governance, key duties will include managing the Raymond James Ltd. testing, monitoring and quality control programs of internal policies, procedures, and controls.
What is the position responsible for?
- Manage the Compliance Testing and Monitoring Program for RJL policies and procedures;(i.e. annual plan development; review of scope, execution, reporting and validation phases of the Testing and Monitoring lifecycles)
- Provide Testing and Monitoring reporting on a regular basis, and as needed, to provide review results, emerging trends, and progress of program efforts
- Assist in tracking testing-related findings and remediation plans;
- Manage oversight of inventory of controls, including review of periodic updates to keep information current
- Manage the Quality Control (QC) Program (i.e. maintenance of procedure documents, assign cases for QC Analyst review, document and report results to management, track/review QC Analyst work, and development/training of new review tasks)
- Manage & lead a high performing team; provide ongoing feedback and performance reviews, coach and develop employees and ensure performance management activities are undertaken and provide regular input into employee assessments and development plans
- Gather data, perform analyses, and document review results;
- Develops reports on the status of the governance program or framework components to various internal & external stakeholder audiences;
- Identifies emerging issues and trends to inform decision-making;
- Develops and manages comprehensive information management systems; designs and/or leads initiatives to improve processes, analysis and reporting
- Actively manage relationships within and across various business lines and enterprise functions
- Prepare periodic reports for presentation to various committees, as required
- Contribute to internal department initiatives and other internal projects, as requested
What can you expect from us? Our most important investment is in people, Raymond James Ltd offers flexible workstyles, a competitive compensation and benefits package. Our benefits range from Health Benefits, RRSP Matching Program, Employee Stock Purchase Plan, Paid Time Off, Volunteer Days, Discretionary Bonuses, Tuition Reimbursement and many more! We also support internal promotion and community involvement.
To qualify for this opportunity you possess:
- Minimum of five years of relevant experience at a Broker Dealer/Wealth Management Firm in Compliance, Governance Risk Management, Audit, and/or Project Management
- Minimum of two years of management experience leading a team of professionals
- Fundamental investment concepts, practices, and procedures used in the securities industry
- In-depth knowledge of business and Canadian regulatory environment, completion of Canadian Securities Course is desirable
- Excellent written, verbal, and interpersonal communication skills
- Strong analytical thinking and critical reasoning skills with a strong attention to detail
- Strong multi-tasking ability, the capacity to work autonomously and in a team; the ability to handle and successfully meet established deadline requirements
- Work within deadlines in a high-volume and demanding environment while maintaining a high level of service and an imperative attention to detail
- Demonstrate email, videoconferencing, and telephone etiquette and relationship management skills
- Proficiency with MS Office (focusing on Word, Excel, PowerPoint, Outlook) with a willingness and ability to learn new applications
- Knowledge of Dataphile and/or Oracle Mantas is desirable
We encourage our associates at all levels to:
- Grow professionally and inspire others to do the same
- Work with and through others to achieve desired outcomes
- Make prompt, pragmatic choices and act with the client in mind
- Take ownership and hold themselves and others accountable for delivering results that matter
- Contribute to the continuous evolution of the firm
At Raymond James – we honor, value, 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 on the basis of merit and business needs.
Here at Raymond James we demonstrate our commitment to ensuring equal opportunities for all candidates. To request accommodations, candidates are instructed to contact Human Resources via email at recruitment@raymondjames.ca. By reaching out to this email address, candidates can communicate their specific requirements and discuss the necessary accommodations they may need to participate fully in the recruitment process.
Salary Range: BC (based on Education, Work Experience, etc) $85,000-105,000 in addition to competitive performance bonuses/incentives.
Job Compliance
Primary Location CA-ON-Toronto-Toronto
Other Locations CA-BC-Vancouver-Vancouver
Organization Compliance
Schedule Full-time
Status Permanent Full-Time
About Raymond James Ltd.
Raymond James Ltd., the Canadian subsidiary of Raymond James Financial, Inc., has a rich history dating back to its establishment in 1962. Our parent company, which went public in 1983, is listed on the New York Stock Exchange under the ticker symbol RJF.
In 2000, Raymond James Financial, Inc. acquired Goepel McDermid Inc., subsequently rebranding it as Raymond James Ltd. Our legacy companies have been serving Canadian investors for nearly eight decades.
In 2016, Raymond James Ltd. further expanded its reach by acquiring 3Macs (MacDougall, MacDougall & MacTier Inc.), a distinguished investment firm founded in 1849, predating Canada’s Confederation. This acquisition significantly bolstered our private client business, integrating 72 advisors and over CAD 6 billion in client assets, thereby establishing the combined entity as Canada’s largest independent investment dealer.
Raymond James Ltd. is proud to be a member the Canadian Investor Protection Fund (CIPF).
Our vision – to be a firm as unique as the people we serve – guides us as we work to gain an even deeper understanding of what makes each of us unique and of what unites us. This principle guides our business at every level, including how we attract talented people and support their personal goals and professional development. When we welcome and embrace diverse experiences, perspectives and points of view in the workplace, it leads to more innovation, creativity and collaboration.