Senior Manager, Insurance and Financial Planning Compliance

Job Description - Senior Manager, Insurance and Financial Planning Compliance (2402949)

Senior Manager, Insurance and Financial Planning Compliance - 2402949

At Raymond James, we develop, we collaborate, we decide, we deliver, and we improve together.

Raymond James Ltd. is Canada’s leading independent investment dealer offering high quality investment products and services to Canadians seeking customized solutions to their wealth management needs.

How does the role impact the organization?

Reporting to the Vice-President, Private Client Group Compliance, the Senior Manager, Insurance and Financial Planning Compliance will be responsible for the compliance oversight of Raymond James Financial Planning ( RJFP ).

As the Compliance subject matter expert, the successful candidate will work with the RJFP business unit and management to establish standards and implement controls to ensure the compliance programs are effective and efficient in preventing, identifying, and correcting non-conformance with applicable insurance and financial planning policies and regulations.

Based in Vancouver, Toronto, or Montreal, the Senior Manager must be able to independently navigate through applicable policies and regulations.

As required, the Senior Manager will also participate in and / or lead compliance projects, and act as a key resource in these areas to provide coaching to members of the Compliance team, and where required, assist with managing internal and regulatory audits, client complaints and investigations.

What will your role be responsible for?

• Lead the compliance and supervision program for RJL’s Financial Planning, Insurance, and Tax Preparation business units, including :
• development and maintenance of policies and procedures;
• inclusion and collaboration with the Compliance Governance monitoring and testing program;
• close collaboration with the Branch Review team and the Financial Planning subject matter expert;
• mapping of regulatory requirements and associated controls, as well as ongoing monitoring for regulatory changes;
• interaction and, at times, lead relationship management with regulators and internal and external auditors;
• regular reporting and escalation of issues as appropriate to Compliance and business leadership.
• Active collaboration and support of business leadership and units, with a pragmatic approach to problem-solving and new and changed business initiative reviews;
• Provide expert regulatory advice on applicable laws, regulations, and policies;
• Perform other duties as assigned by the CCO or other compliance VPs.

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.

What do we expect from you?

• An undergraduate university degree;
• Successful completion of the LLQP, PFP / CFP and CSC;
• Minimum of 5 years of Compliance, Risk or Legal experience with a focus on insurance and financial planning;
• Knowledge of Canadian Provincial and Territorial Insurance Standards and Regulations;
• Understanding of FP Canada Standards and Regulations;
• Experience with Canadian personal, corporate and trust income tax preparation process would be considered an asset;
• Ability to communicate in both official languages (English and French) would be considered an asset;
• Showcase strong technical knowledge;
• Establish and maintain effective and cooperative relationships amongst both Compliance as well as to collaborate with Business team members;

and to work independently.

While some degree of hybrid workstyle may be utilized, this position is ideally best suited to regular in-office attendance.

Some business travel to branch locations or corporate offices may be expected.

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 : BC (based on Education, Work Experience, etc) $100,000- 125,000 in addition to competitive performance bonuses / incentives.

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 recruitment@raymondjames.

ca. 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.

Raymond James Ltd. is a member of the Investment Industry Regulatory Organization of Canada (IIROC) and of the Canadian Investor Protection Fund (CIPF).

Customers’ accounts are protected by the Canadian Investor Protection Fund within specified limits. A brochure describing the nature and limits of coverage is available upon request.

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