Manager, Information Compliance Risk Management (ICRM)

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)

How does the role impact the organization?

ICRM is comprised of three Compliance Programs, Privacy, Books & Records, and IT Compliance. Reporting to the VP, 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. 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.