Manager, Information Compliance Risk Management

Raymond James Ltd.; Toronto; On-site; CAD 105,000 - 120,000; Full time

Benefits offered by this job

Health Benefits

RRSP Matching Program

Employee Stock Purchase Plan

Paid Time Off

Volunteer Days

Discretionary Bonuses

Tuition Reimbursement

Internal Promotion

Job summary

Raymond James Ltd. is Canada’s leading independent investment dealer providing wealth management solutions. The Manager, ICRM will lead the compliance program, partner with cross-functional teams, and help ensure regulatory readiness across Privacy, Books & Records, and IT Compliance.

Reporting to senior management, you will guide risk assessments, manage complex projects, and mentor a team of compliance professionals while shaping governance practices and policy development.

Qualifications

• Minimum 5 years of relevant experience in compliance, governance, risk management, audit, privacy, or project management within a regulated financial services environment.
• Demonstrated experience leading direct reports and cross-functional teams and strategic initiatives.
• Strong knowledge of Canadian regulatory requirements, privacy legislation, compliance frameworks, and governance practices.

Responsibilities

• Define and oversee Compliance Program requirements and establish strategies for sustainable regulatory compliance and enterprise alignment.
• Support the ICRM Compliance Risk Assessments, impact analyses, and remediation initiatives for regulatory and business changes.
• Represent the ICRM Program interests in enterprise projects, corporate initiatives, audits, and regulatory examinations.
• Partner with stakeholders to evaluate compliance implications and drive informed business decisions.
• Manage and execute complex projects and strategic initiatives with minimal supervision.
• Provide leadership, coaching, mentoring, and development support to team members and business stakeholders.
• Direct the development, implementation, and enhancement of policies, procedures, standards, and controls.
• Provide guidance on complex compliance matters and regulatory interpretations.
• Prepare and deliver executive-level presentations, reporting, and recommendations.
• Support management in establishing ICRM related quality assurance and control frameworks.
• Execute ICRM monitoring, reporting, training, and awareness activities.
• Identify emerging risks and proactively recommend mitigation strategies.
• Influence cross-functional stakeholders to achieve compliance objectives and regulatory readiness.
• Inform Senior Compliance Management about issues and potential regulatory exposures.
• Lead a team of compliance professionals, manage team workload, and performance and provide guidance and subject matter expertise.

Skills

Compliance knowledge

Governance

Risk management

Project management

Stakeholder management

Leadership

MS Office proficiency

Tools

Microsoft Office

Job description

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, Information Compliance Risk Management (ICRM)

Location: Toronto or Vancouver

How does the role impact the organization?

ICRM is comprised of three Compliance Programs, Privacy, Books & Records, and IT Compliance. Reporting to the Senior Manager, ICRM & Compliance Governance, the Manager, ICRM will be available to provide support to all three Programs as may be required from time to time. Some of key duties of the Manager will include managing the Program ensuring the firm is meeting its identified regulatory and business obligations; identifying, and managing responses to broad corporate or regulatory changes to meet continued compliance, and working independently on projects and difficult assignments to provide comprehensive solutions to complex problems.

What will your role be responsible for?

• Define and oversee Compliance Program requirements and establish strategies for sustainable regulatory compliance and enterprise alignment.
• Support the ICRM Compliance Risk Assessments, impact analyses, and remediation initiatives for regulatory and business changes.
• Represent the ICRM Program interests in enterprise projects, corporate initiatives, audits, and regulatory examinations.
• Partner with stakeholders to evaluate compliance implications and drive informed business decisions.
• Manage and execute complex projects and strategic initiatives with minimal supervision.
• Provide leadership, coaching, mentoring, and development support to team members and business stakeholders.
• Direct the development, implementation, and enhancement of policies, procedures, standards, and controls.
• Provide guidance on complex compliance matters and regulatory interpretations.
• Prepare and deliver executive-level presentations, reporting, and recommendations.
• Support management in establishing ICRM related quality assurance and control frameworks.
• Execute ICRM monitoring, reporting, training, and awareness activities.
• Identify emerging risks and proactively recommend mitigation strategies.
• Influence cross-functional stakeholders to achieve compliance objectives and regulatory readiness.
• Inform Senior Compliance Management about issues and potential regulatory exposures.
• Lead a team of compliance professionals, manage team workload, and performance and provide guidance and subject matter expertise.
• Perform other duties and responsibilities as assigned.

What can you expect from us?

Our most important investment is in people. Upon eligibility, Raymond James Ltd offers flexible workstyles, a competitive compensation and benefits package.

• flexible workstyles
• Health Benefits
• RRSP Matching Program
• Employee Stock Purchase Plan
• Paid Time Off
• Volunteer Days
• Discretionary Bonuses
• Tuition Reimbursement
• many more!
• internal promotion and community involvement

What do we expect from you?

• Minimum 5 years of relevant experience in compliance, governance, risk management, audit, privacy, or project management within a regulated financial services environment.
• Demonstrated experience leading direct reports and cross-functional teams and strategic initiatives.
• Strong knowledge of Canadian regulatory requirements, privacy legislation, compliance frameworks, and governance practices.
• Solid understanding of securities industry concepts and broker-dealer operations; Canadian Securities Course (CSC) considered an asset.
• Exceptional written, verbal, presentation, and stakeholder management skills.
• Strong analytical, problem-solving, and decision-making capabilities.
• Proven ability to influence senior leadership and navigate complex organizational environments.
• Advanced proficiency with Microsoft Office applications, particularly Word, Excel, PowerPoint, and Outlook.

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.

Salary Range: $105,000 - 120,000 annually, in addition to competitive performance bonuses/incentives.

Actual compensation will be determined based on skills, experience, internal equity, and other job requirements.

This posting is for an existing vacancy.

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 [e-mail]. 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.

We may use automated or AI-enabled tools to support parts of our recruitment and screening process, including screening, assessing or selecting applicants where applicable. These tools help us review applications efficiently, but they do not replace human decision-making.