Compliance Governance Manager

Description:

Raymond James Ltd., Canada’s largest independent investment dealer, is hiring a Gestionnaire, gouvernance de la Conformité (Compliance Governance Manager) to strengthen its compliance and oversight functions. The selected candidate will report directly to the Senior Manager of Compliance Governance and play a critical role in maintaining the firm's commitment to regulatory excellence and operational integrity.

This leadership role involves overseeing monitoring programs, quality control processes, and the effectiveness of internal controls and compliance procedures. You will be expected to design, implement, and manage an annual compliance monitoring plan, generate reports, coordinate remediation strategies, and guide a performance-driven team.

You will also be responsible for managing governance documentation, analyzing trends and risks, enhancing reporting frameworks, and maintaining strong cross-functional relationships across the organization. The role demands a dynamic professional with deep regulatory knowledge, exceptional analytical capabilities, and strong people management skills.

Key Responsibilities:

• Oversee RJL’s compliance monitoring and control program, including annual planning, execution, reporting, and validation

• Regularly deliver monitoring reports outlining findings, trends, and progress updates

• Supervise the compliance control inventory and ensure updates remain current

• Lead the Quality Control (QC) program: assign review tasks, manage QC analysts, validate results, and train staff

• Manage and mentor a high-performing team, providing feedback, performance reviews, and professional development planning

• Analyze data, document findings, and produce reports for both internal and external stakeholders

• Monitor emerging risks and identify concerns to support decision-making

• Drive process improvements, data management, and reporting initiatives

• Coordinate relationships across departments and support internal compliance projects

• Prepare presentations for committees and contribute to broader compliance efforts

Qualifications Required:

• 5+ years of relevant experience in compliance, governance, risk management, or internal audit within the financial industry

• At least 2 years of experience managing a professional team

• Strong knowledge of Canadian regulatory environments, preferably with completion of the Canadian Securities Course

• Excellent communication, interpersonal, and analytical skills

• Strong multitasking, organizational, and deadline-management abilities

• Professional etiquette in written, verbal, and virtual communications

• Proficiency in Microsoft Office (Word, Excel, PowerPoint, Outlook)

• Experience with Dataphile and/or Oracle Mantas is considered an asset

What You Can Expect:

Raymond James Ltd. offers competitive compensation, flexible work arrangements, and a comprehensive benefits package. These include health benefits, a matching RRSP program, an employee share ownership plan, tuition reimbursement, volunteer days, discretionary bonuses, and more. The firm supports internal career progression and community involvement.

Raymond James is committed to fostering a culture of inclusion, professional growth, and meaningful contributions across all levels. Employment decisions are based on merit and business needs. Accommodations are available upon request during the recruitment process.