- Manager, Information Compliance Risk Management (ICRM) (2600577) Manager, Information Compliance Risk Management (ICRM) - 2600577 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) 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. 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.

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. flexible workstyles, Discretionary Bonuses, Minimum 5 years of relevant experience in compliance, governance, risk management, audit, privacy, or project management within a regulated financial services environment. Solid 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. Proven ability to influence senior leadership and navigate complex organizational environments. Advanced proficiency with Microsoft Office applications, particularly Word, Excel, PowerPoint, and Outlook.

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. When associates bring their best authentic self, our organization, clients and communities thrive, it is part of our people-first culture. These tools help us review applications efficiently,but they donot replace human decision-making.

Raymond James

Ltd. is a member of the Investment IndustryRegulatory Organization of Canada (IIROC) and of the Canadian Investor ProtectionFund (CIPF). Customers’ accounts are protected by the Canadian Investor ProtectionFund within specified limits.

Raymond James

Ltd. is an integrated financial services firm. Itssubsidiaries, Raymond James Investment Counsel Ltd., Please consult each subsidiary’s webpagesfor applicable corporate, regulatory or membership information. #

📌 Senior Audit & Risk Management Specialist (Toronto)
🏢 Raymond James Financial
📍 Toronto