TruStone Bilingual Compliance Analyst

3 weeks ago

Mississauga ON, Canada Empire Life Investments Inc. Full time

TruStone is looking to hire a Bilingual Compliance Analyst

About us

TruStone Financial Inc. (TSF), is redefining an industry by providing independent financial advisors exceptional service and developing meaningful relationships.

We are an MGA (Managing General Agent), an intermediary contracted by insurers to operate on their behalf to facilitate sales and support of life and health insurance and investment products by independent, contracted and licensed insurance advisors. With an emphasis on training, marketing, and technology, TSF is continually innovating to provide the highest level of service possible for our advisors.

TSF is proud to cultivate and sustain long lasting relationships with our advisors, employees, and suppliers.

Why pursue this opportunity

The role - this is a new position and your chance to join a growing team, while being provided the opportunity to make an impact.

Deliver excellence - provide a personal, accurate, professional, and courteous service and resolution to our customers.

Hone your skills - this is an opportunity that allows for you to grow your technical, and functional skills.

What you’ll be working on

Assist in overseeing and providing guidance of the compliance activities of contracted advisors and AGAs at TruStone. Assist AGAs and advisors to identify gaps in their compliance program and assist them in closing those gaps.

Assists Manager, Compliance and TruStone in achieving and maintaining a compliant operating environment.

Report any identified instances of non-compliant behavior directly to the Manager, Compliance and perform any follow up investigatory procedures as directed.

For any Advisors under enhanced supervision, ensure additional supervisory procedures are being executed and report any exceptions to the Manager, Compliance

Participate and provide support to the Manager, Compliance for reporting to Senior Leadership

in monthly, quarterly, and annual reporting to monitor Compliance Key Risk Indicators.

Maintain effective relationships with other TruStone divisions and departments, including Sales, and Marketing, working together towards achieving the overall strategic objectives for the company.

Under the supervision of Manager, Compliance conducting second line testing on compliance controls.

Assisting in the preparation of materials, process walkthrough during Carrier Audits and regulatory exams

Continually assesses current processes and recommending appropriate enhancements to improve or adapt to changing business or regulatory requirements.

Conduct risk assessments on advisors and AGAs, working with Manager, Compliance to develop and implement action plans to conduct internal advisor reviews.

Support the Manager, Compliance and TruStone in fulfilling the requirements in Quebec as a registrant under the Act respecting the Distribution of Financial Products and Services and its regulations and other requirements imposed by the AMF.

Assist any advisors in French (or the advisor’s preferred language).

Respond to carrier’s complaint investigation and compile information to assist Carrier data and information requests.

What we’re looking for you to have

1-3 years work experience in the life insurance/financial services industry

Bilingual in English and French is required.

Knowledge of life insurance law and the jurisdiction of all regulatory bodies

Knowledge of word processing, presentation, spreadsheet, email and database software

Completion of a university degree in business or other related area

Independent worker, managing and executing assigned tasks responsibly and without direct day to day supervision

Desire to work in a team environment, in multiple different capacities

Are capable of handling multiple tasks and meeting stringent deadlines in a dynamic and fast paced environment.

Good planning and organizational skills with attention to detail. Are able to gather, analyze, document and present large volumes of information in a succinct and organized manner.

Critical thinking, able to identify and provide recommendations to resolving compliance questions and improving business practices in a timely and effective manner

Have excellent verbal and written communication skills that illustrate the importance of compliance and how best to achieve it in accordance with the business objectives

Bring a positive, can-do attitude, using creative solutions to solve problems.

If you are applying for a position which is open to applicants across Canada, unless otherwise indicated in the position, language proficiency in English is required for communicating with customers, advisors, or employees across Canada.

Beyond the salary

For regular full-time positions, TruStone offers a comprehensive total rewards package that includes:

Company pension

Dental care

Disability insurance

Employee assistance program

Extended health care

Life insurance

Paid time off

Get to know us

TruStone is proud to be an equal opportunity employer. We celebrate diversity, are committed to creating an inclusive environment, and welcome everyone to participate in our application process. We encourage those of all backgrounds and experiences to apply, even if you don't believe you meet each unique qualification outlined. A pplicants will receive equal consideration without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, disability, or age.

TruStone welcomes applications from people with disabilities and disabled people. Accommodations are available upon request for candidates taking part in all aspects of the screening and selection process. If you need this job posting in an alternative format or have any accessibility questions, please contact recruitment@empire.ca .

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