Raymond James Financial, Inc

Manager, Information Compliance Risk Management (ICRM)

Raymond James Financial, Inc$105K — $120K *
Finance & Insurance
5 - 7 years of experience
Job Overview by Ladders

Qualifications

  • 5+ years of experience in compliance, governance, risk management, audit, privacy, or project management in financial services.
  • Experience leading teams and strategic initiatives.
  • Strong knowledge of Canadian regulatory compliance and governance practices.
  • Understanding of securities industry concepts and operations; CSC certification is a plus.
  • Excellent communication skills, both written and verbal, including presentation abilities.
  • Strong analytical and decision-making skills.
  • Proven ability to influence senior management and navigate complex environments.

Responsibilities

  • Define and oversee compliance program requirements for regulatory adherence.
  • Support risk assessments and remediation for regulatory changes.
  • Represent ICRM interests in key enterprise projects and audits.
  • Evaluate compliance implications with stakeholders to inform business decisions.
  • Manage complex projects with limited supervision.
  • Provide mentorship and development support to team members.
  • Develop and enhance policies, procedures, and compliance controls.

Benefits

  • Flexible work styles
  • Health benefits
  • RRSP matching program
  • Employee Stock Purchase Plan
  • Paid time off and volunteer days
  • Discretionary bonuses
  • Tuition reimbursement
Full Job Description
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.

Qualifications:

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.

About Raymond James Financial, Inc

The Raymond James Technology and Communications Investment Banking Group is a committed and thoughtful partner that provides a full range of investment banking services and best practices. The group is comprised of experienced professionals that have extensive investment banking expertise. They leverage the industry expertise of Raymond James' award-winning research department. The group focuses on key sectors within technology and communications including: communications software, communication towers, defense electronics, enterprise software, internet infrastructure services, homeland security, IT services, mobile technology, semiconductors, software-as-a-service, telecommunications equipment, telecommunications infrastructure and support services, and wireless & wireline telecommunications services. They take pride in a client-centric approach to M&A, with focus on delivering independent solutions that creates value for the long term. The outcome of this unique approach may be seen in the successful transactions of their clients, including over 80 public offerings totaling $17 billion and over 85 strategic advisory transactions totaling over $5 billion in value since 1998.

Raymond James Financial, Inc Careers

Join the vibrant team at Raymond James Financial, Inc, a leading financial services company where innovation, leadership, and professional growth are at the forefront of our operations. As a hub of diversity and expertise, Raymond James offers unparalleled job opportunities that propel your career to new heights. Work You’ll Do At Raymond James Financial, Inc, you’ll collaborate with some of the most talented professionals in the financial industry. Our team is dedicated to providing strategic financial solutions and advice to our clients, helping them achieve their financial goals while fostering economic growth. With a culture rooted in leadership and diversity training, Raymond James is the perfect place to enhance your skills and thrive professionally. Join our market-leading team to assist a diverse range of clients, from individuals to large corporations, in navigating their financial planning with precision and innovative strategies. Lead in a role where your expertise directly influences the success and stability of our clients' financial futures. Work with a dynamic team of advisors and experts who are committed to pushing the boundaries of the financial sector through continuous innovation and exceptional client service. Raymond James Financial, Inc Job Opportunities Introducing the Raymond James Career Development Program We are committed to nurturing talent through our comprehensive career development program designed to provide every employee—from interns to senior leaders—with the tools and training necessary for success. Whether you’re just starting out with an internship or you’re a seasoned professional, Raymond James offers career paths that align with your ambitions and skills. Do Innovative Work Join a company where innovation is part of the daily routine. At Raymond James Financial, Inc, you’ll engage with cutting-edge financial tools and resources that keep you ahead in the industry. Our commitment to technology and innovation ensures that we stay at the forefront of financial services. Be Part of a Great Team Experience a collaborative environment where teamwork and networking are encouraged. Our inclusive culture supports diversity and offers benefits that ensure the well-being of all team members. At Raymond James, you’re not just an employee; you’re part of a family that values your unique contributions and supports your professional journey. Future-Proof Your Career Advance your career with Raymond James, where opportunities for growth are abundant. Benefit from our industry-leading training programs and gain certifications that will elevate your professional standing. With a focus on career longevity and satisfaction, Raymond James ensures that your professional journey is as rewarding as it is successful. Explore Discover the various positions available at Raymond James Financial, Inc that match your skills and interests. We are continuously hiring across multiple disciplines, eager to welcome passionate, curious, and solution-driven team players. Stay Connected Join Our Team Search open positions at Raymond James Financial, Inc and find the perfect match for your career aspirations. Explore a range of opportunities from financial advising to corporate roles that align with your professional skills and goals. Keep Up to Date Stay informed with the latest career tips, insider perspectives, and industry-leading insights—all from the professionals who thrive at Raymond James. Job Alert Emails Customize your subscription to receive job alerts, latest news, and insider tips tailored to your preferences. Discover the exciting and rewarding career opportunities waiting for you at Raymond James Financial, Inc. Join Raymond James Financial, Inc today and be part of a company that values innovation, leadership, and professional growth. Your future in the financial industry starts here.
Learn more about Raymond James Financial, Inc
Size
15,000 employees
Market Cap
$22.6 billion
Industry
Net Income
$862 million
5 Year Trend
+11.6%
Revenue
$8.3 billion
NASDAQ

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