Senior Associate, Information Compliance Risk Management

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)

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 trans...