Raymond James is seeking a Regulatory Compliance Manager in Toronto/BC to oversee compliance programs and provide regulatory advice. As a key leader, you will maintain compliance standards across various business units.
In this strategic role, you will report to the Chief Compliance Officer and manage compliance oversight for U.S. operations. Collaboration with financial advisors and ECM teams is essential while implementing changes in regulatory guidelines. Your leadership will ensure that the compliance team effectively addresses customer inquiries and manages internal investigations.
Key Responsibilities:
• Implement compliance strategies according to FINRA and SEC rules
• Collaborate with U.S. and Canadian affiliates on inspections
• Participate in regulatory examinations and audits
• Guide marketing content review processes
• Train and develop compliance team members
Requirements:
• At least 5 years in the financial services industry
• Three years of ...