Compliance Analyst

1 week ago

Mississauga, Ontario, Canada Primerica Full time
About this Position

We are looking for a Compliance Analyst to join our Compliance Department.

Responsibilities and Qualifications

This Role Includes Responsibilities for each of the Life Insurance Company, Investment Fund Manager and Mutual Fund Dealer:

Responsibilities:

  • Act as administrator and assist in the development and maintenance of the Company's regulatory compliance management program (Ethidex); which includes reviewing and assessing assigned legislative control objectives/requirements,
  • Act as administrator for the annual regulatory compliance management attestation process for the Company, including coordinating with management and the service provider, tracking completion, working with business units to resolve any gaps that have been identified and documenting them accordingly,
  • Provide support to the Privacy Office, conduct and/or coordinate investigations into privacy and ombudsman level complaints and prepare draft responses with a view to ensuring prompt and proper resolutions.
  • Act as administrator and assist in the development, maintenance and delivery of both the Employee and Agent Annual Compliance Meetings including the tracking of completion, troubleshooting of technical issues, working with compliance management, employees and agents to resolve any gaps or reports of noncompliance, and the preparation of management reports;
  • Review, assign control objectives and flag for internal distribution quarterly legislative and regulatory updates for all applicable entities and ensure that applicable quarterly legislative and regulatory updates have been incorporated into regulatory compliance management programs for quality control and monitoring and testing purposes,
  • Organize and manage documentation for regulatory, internal audit and other reviews and examinations and assist with the arrangements for such examinations, audits and reviews.
  • Researching and analyzing applicable legislative and regulatory actions concerning mutual fund and insurance products, ancillary products, field operations and home office administration,
  • Assist with the updating and maintenance of compliance policies and procedures and other related documentation,
  • Educating and informing the business units regarding compliance requirements, including legislative and business practices,
  • Train on and be available as a backup to those responsible for coordinating investigations into suspicious or attempted suspicious transactions and reporting on final conclusions,
  • Train on and be available as a back up to those responsible for performing ongoing Anti-Money Laundering (AML) and Anti-Terrorist Financing (ATF) activities, including sanctions screening and regulatory reporting, and other reviews and assessments of compliance,
  • Conducting quarterly regulatory compliance selfassessments ("RCSA") for the Compliance Department and reviewing the RCSA risk and testing matrices to ensure business risks are sufficiently considered,
  • Manage the Regulatory Compliance Department's files and records and perform other administrative duties,
  • Preparing formal and informal compliance reports and other communications to the business units and the Board of Directors on a regular and ad hoc basis.
  • Such other tasks and duties as may be assigned from time to time.

Qualifications:

  • Postsecondary education or equivalent, as well as previous experience in Compliance and/or the financial services industry with particular knowledge of life insurance and mutual fund regulation and compliance
  • Experience with Antimoney laundering/antiterrorist financing legislation would be considered an asset
  • Excellent verbal and written communication skills
  • Strong cooperative and professional attitude while working in a high volume and fastpaced environment
  • Excellent organizational and time management skills with the ability to multitask, continuously prioritize workflow and meet deadlines
  • Must be proficient in MS Office (Excel, Word, PowerPoint)
  • Bilingualism would be considered an asset


It has been and will continue to be the policy of Primerica, Inc., and its subsidiaries to be an Equal Opportunity Employer.

We provide equal opportunity to all qualified individuals regardless of race, sex, color, religious creed, religion, national origin, citizenship status, age, disability, pregnancy, ancestry, military service or veteran status, genetic or carrier status, marital status, sexual orientation, or any classification protected by applicable federal, state or local laws.


At Primerica, we believe that diversity and inclusion are critical to our future and our mission - creating a foundation for a creative workplace that leads to innovation, growth, and profitability.

Through a variety of programs and initiatives, we invest in each employee, seeking to ensure that our people are not only respected as individuals, but also truly valued for their unique perspectives.

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