Compliance Governance Manager

Description:

Raymond James Ltd., one of Canada’s leading independent investment dealers, is seeking a Manager, Compliance Governance to join its compliance team in Toronto, ON. The successful candidate will play a pivotal role in overseeing compliance testing, monitoring, and quality control programs across the organization to ensure adherence to internal policies, procedures, and regulatory requirements.

This role involves strategic oversight, reporting, and leadership of a high-performing compliance team. It is an opportunity to work in a dynamic environment where collaboration, governance excellence, and professional growth are highly valued.

Key Responsibilities:

• Lead and manage the Compliance Testing and Monitoring Program including planning, scope review, execution, reporting, and validation.

• Develop and deliver periodic compliance reports, identifying emerging trends and program progress.

• Oversee inventory of controls and ensure periodic updates are maintained.

• Manage the Quality Control (QC) Program: assign review tasks, oversee QC analysts, review results, and implement training.

• Conduct data analysis and document compliance review results for presentation to committees and stakeholders.

• Manage a team by providing coaching, development plans, and regular performance assessments.

• Drive process improvements and implement effective governance frameworks.

• Collaborate across business lines to enhance compliance initiatives.

Skills & Qualifications:

• Minimum 5 years of relevant experience in compliance, governance risk management, audit, or project management (preferably in a broker-dealer or wealth management environment).

• At least 2 years in a management or leadership capacity.

• Strong understanding of Canadian regulatory environment; completion of Canadian Securities Course is an asset.

• Excellent written, verbal, and interpersonal communication skills.

• Proficient in MS Office (Word, Excel, PowerPoint, Outlook); familiarity with Dataphile and/or Oracle Mantas is desirable.

• Strong analytical, critical thinking, and problem-solving abilities with exceptional attention to detail.

What You Can Expect:

• Competitive salary ($85,000 – $105,000 annually) with performance bonuses/incentives.

• Flexible workstyles and a comprehensive benefits package including health benefits, RRSP matching, Employee Stock Purchase Plan, paid time off, volunteer days, discretionary bonuses, and tuition reimbursement.

• Opportunities for internal promotion and career growth.

• Supportive and inclusive work culture that values diversity, authenticity, and professional development.