Senior Associate, Information Compliance Risk Management

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

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.

Senior Associate, Information Compliance Risk Management (ICRM)

How does the role impact the organization?

The Senior Associate, Information Compliance Risk Management (ICRM) supports the organization's Privacy and Books & Records by conducting risk and control assessments, process registering activities, data governance, maintaining regulatory and policy inventories, coordinating monitoring and quality assurance activities, and producing management reporting. The Senior Associate partners with Compliance, Technology, Data Governance, and business stakeholders to help ensure the firm meets applicable regulatory and business obligations and is prepared for regulatory change, inquiries, and examinations.

This role is part of the Compliance team and contributes to department wide goals by helping translate regulatory requirements into practical compliance activities, supporting control oversight, and enabling consistent evidence-based governance.

What will your role be responsible for?

Compliance Monitoring, and Risk Assessment

• Assist in executing risk assessments, monitoring activities, and second-line oversight routines to evaluate the design and effectiveness of controls across Privacy, Books & Records, and regulatory obligations.

• Support the development and execution of testing/quality assurance protocols for key risks and controls (e.g., sampling, evidence collection, control walkthroughs, and documenting results).

• Help maintain and improve quality assurance processes that detect and address potential compliance gaps.

Regulatory Change & Obligations Management

• Monitor regulatory developments and support applicability assessments for changes impacting Privacy, data governance, and records retention.

• Maintain a centralized inventory of regulatory obligations, program dependencies, and related internal controls. Assist with mapping policies/controls to regulatory obligations and control frameworks.

Policies, Procedures, and Program Enablement

• Support the review of compliance policies, standards, procedures, and control documentation to ensure alignment with enterprise governance.

• Assist in coordinating updates and communications when program changes are required due to regulatory developments or business initiatives.

• Contribute to risk-based recommendations that balance regulatory expectations with operational realities.

Reporting, Metrics & Governance Support

• Compile and analyze compliance metrics (e.g., testing results, issue status, remediation progress, training completion) and contribute to dashboards/scorecards for committees and leadership visibility.

• Prepare clear written summaries, presentations, and briefing materials for management, including trend analysis and key risk indicators.

• Maintain accurate records and evidence repositories to support program governance and audit readiness.

Stakeholder Coordination & Exam Readiness

• Coordinate with business lines, Technology, Data Governance, and Risk partners to facilitate oversight activities and obtain required artifacts on schedule.

• Support preparation for and response to regulatory exams, audits, and inquiries, including evidence collection, tracking requests, and documenting outcomes.

• Participate in meetings and working sessions to ensure actions, risks, and decisions are captured and progressed.

Training & Awareness

• Assist with developing and maintaining compliance training content and records (e.g., program specific guidance, process reminders, targeted refreshers).

• Promote a culture of compliance by reinforcing expectations, facilitating follow-ups, and helping operational teams understand compliance impacts.

Other

• 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.

'',''!*!

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

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.

Senior Associate, Information Compliance Risk Management (ICRM)

How does the role impact the organization?

The Senior Associate, Information Compliance Risk Management (ICRM) supports the organization's Privacy and Books & Records by conducting risk and control assessments, process registering activities, data governance, maintaining regulatory and policy inventories, coordinating monitoring and quality assurance activities, and producing management reporting. The Senior Associate partners with Compliance, Technology, Data Governance, and business stakeholders to help ensure the firm meets applicable regulatory and business obligations and is prepared for regulatory change, inquiries, and examinations.

This role is part of the Compliance team and contributes to department wide goals by helping translate regulatory requirements into practical compliance activities, supporting control oversight, and enabling consistent evidence-based governance.

What will your role be responsible for?

Compliance Monitoring, and Risk Assessment

• Assist in executing risk assessments, monitoring activities, and second-line oversight routines to evaluate the design and effectiveness of controls across Privacy, Books & Records, and regulatory obligations.

• Support the development and execution of testing/quality assurance protocols for key risks and controls (e.g., sampling, evidence collection, control walkthroughs, and documenting results).

• Help maintain and improve quality assurance processes that detect and address potential compliance gaps.

Regulatory Change & Obligations Management

• Monitor regulatory developments and support applicability assessments for changes impacting Privacy, data governance, and records retention.

• Maintain a centralized inventory of regulatory obligations, program dependencies, and related internal controls. Assist with mapping policies/controls to regulatory obligations and control frameworks.

Policies, Procedures, and Program Enablement

• Support the review of compliance policies, standards, procedures, and control documentation to ensure alignment with enterprise governance.

• Assist in coordinating updates and communications when program changes are required due to regulatory developments or business initiatives.

• Contribute to risk-based recommendations that balance regulatory expectations with operational realities.

Reporting, Metrics & Governance Support

• Compile and analyze compliance metrics (e.g., testing results, issue status, remediation progress, training completion) and contribute to dashboards/scorecards for committees and leadership visibility.

• Prepare clear written summaries, presentations, and briefing materials for management, including trend analysis and key risk indicators.

• Maintain accurate records and evidence repositories to support program governance and audit readiness.

Stakeholder Coordination & Exam Readiness

• Coordinate with business lines, Technology, Data Governance, and Risk partners to facilitate oversight activities and obtain required artifacts on schedule.

• Support preparation for and response to regulatory exams, audits, and inquiries, including evidence collection, tracking requests, and documenting outcomes.

• Participate in meetings and working sessions to ensure actions, risks, and decisions are captured and progressed.

Training & Awareness

• Assist with developing and maintaining compliance training content and records (e.g., program specific guidance, process reminders, targeted refreshers).

• Promote a culture of compliance by reinforcing expectations, facilitating follow-ups, and helping operational teams understand compliance impacts.

Other

• 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.

'',''!*!

What do we expect from you?

To qualify for this opportunity you possess:

Education & Experience

• Bachelor's degree (or equivalent combination of education, training, and experience).
• Typically, 2-5 years of relevant experience in compliance, governance/risk management, audit, technology risk, privacy, or financial services operations.
• Experience in securities and/or banking environments is an asset.

Knowledge

• Working knowledge of compliance concepts and the role of second-line oversight (risk assessment, monitoring, testing, issue management).
• Familiarity with privacy principles and records retention concepts, project management, exposure to data governance, information protection, or control environments is beneficial.
• General understanding of how regulatory obligations translate into policies, procedures, controls, and evidence.

Skills & Abilities

• Strong analytical thinking and critical reasoning; ability to identify patterns, assess control effectiveness, and articulate risks clearly.
• Demonstrated ability to produce high-quality documentation and structured workpapers.
• Strong written and verbal communication skills; capable of preparing concise summaries and presenting findings to stakeholders.
• Ability to manage multiple priorities, meet deadlines, and work independently while collaborating effectively across teams.
• High attention to detail with the ability to maintain a "big picture" perspective.
• Sound judgment, discretion, and ability to maintain confidentiality.

Technical Proficiency

• Proficiency with MS Office (Word, Excel, PowerPoint, Outlook); comfort producing reports, trackers, and presentations.
• Experience with metrics reporting, and dashboards is an asset.

Core Competencies (Success Factors)

• Risk-based mindset focuses oversight on what matters most and can explain "why it matters."
• Execution excellence: reliable follow through, structured documentation, and organized evidence management.
• Stakeholder partnership: works effectively across Compliance, Operations, Technology, and business lines.
• Clear communication: translates complex requirements into practical language and actionable outcomes.
• Continuous improvement: identifies process enhancements and contributes to program maturity.

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: $60,000 - $75,000 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.

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.

'',''!*!

What do we expect from you?

To qualify for this opportunity you possess:

Education & Experience

• Bachelor's degree (or equivalent combination of education, training, and experience).
• Typically, 2-5 years of relevant experience in compliance, governance/risk management, audit, technology risk, privacy, or financial services operations.
• Experience in securities and/or banking environments is an asset.

Knowledge

• Working knowledge of compliance concepts and the role of second-line oversight (risk assessment, monitoring, testing, issue management).
• Familiarity with privacy principles and records retention concepts, project management, exposure to data governance, information protection, or control environments is beneficial.
• General understanding of how regulatory obligations translate into policies, procedures, controls, and evidence.

Skills & Abilities

• Strong analytical thinking and critical reasoning; ability to identify patterns, assess control effectiveness, and articulate risks clearly.
• Demonstrated ability to produce high-quality documentation and structured workpapers.
• Strong written and verbal communication skills; capable of preparing concise summaries and presenting findings to stakeholders.
• Ability to manage multiple priorities, meet deadlines, and work independently while collaborating effectively across teams.
• High attention to detail with the ability to maintain a "big picture" perspective.
• Sound judgment, discretion, and ability to maintain confidentiality.

Technical Proficiency

• Proficiency with MS Office (Word, Excel, PowerPoint, Outlook); comfort producing reports, trackers, and presentations.
• Experience with metrics reporting, and dashboards is an asset.

Core Competencies (Success Factors)

• Risk-based mindset focuses oversight on what matters most and can explain "why it matters."
• Execution excellence: reliable follow through, structured documentation, and organized evidence management.
• Stakeholder partnership: works effectively across Compliance, Operations, Technology, and business lines.
• Clear communication: translates complex requirements into practical language and actionable outcomes.
• Continuous improvement: identifies process enhancements and contributes to program maturity.

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: $60,000 - $75,000 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.

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.

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