Compliance Consultant

3 months ago

Golden Horseshoe, Canada iA Financial Group Full time

PPI (an independent subsidiary of iA Financial) is an Insurance Marketing Organization that sits between independent advisors and insurance companies. From coast-to-coast, we provide value-added services and support such as digital tools, education, marketing, and processing, to help Advisors elevate and grow their business with a socially responsible mindset.

At PPI, each day you have the opportunity to make a meaningful difference when you support our independent insurance advisors in providing financial security and peace of mind to their clients: Canadian families and businesses.

When you join PPI you will be part of a diverse, inclusive and equitable place to work that values different perspectives. You will benefit from a culture that is people-focused, inclusive and collaborative with opportunities to learn and develop your skills, develop your career and make a meaningful impact.

Our people drive our progress through innovative ideas and a commitment to excellence. We work hard and always ensure we have fun along the way.

PPI is pleased to provide employees with the flexibility of a hybrid work environment. This role is eligible for working from home up to 3 days per week.

Responsibilities:

  • Assist with creating, maintaining, promoting and auditing policies and procedures that define and conform to the ethical and regulatory compliance requirements of the insurance industry and relevant industry organizations.
  • Ensure that contracted Advisors are aware of and familiar with legal and regulatory requirements, policies and procedures, through participation in mandatory educational programs, compliance questionnaires, and knowledge testing.
  • Identify areas of vulnerability relative to prevailing regulations and assist in developing review mechanisms to guard against the risk.
  • Manage client complaints and maintain appropriate records of the complaint process, including identifying internal consequences and corrective actions needed to address any conduct issues, and identifying corrective actions required to prevent future occurrences of the violation, such as revising policies and procedures and updating training programs.
  • Participate in projects pertaining to risk management, compliance, Anti-Money Laundering and privacy standards as required.
  • Provide assistance in the preparation and completion of the CLHIA MGA Compliance Review Survey for various insurance carriers.
  • Provide support to Advisors with Advisor Practice Reviews from carriers and regulators.
  • Act as a liaison between Agency Services and Sales to ensure appropriate screening of Advisors as well as ongoing monitoring to ensure Advisors remain suitable after contracting.
  • Assist with ensuring PPI is up to date on provincial regulatory requirements including possible changes, along with new initiatives presented by industry associations such as Advocis and the CLHIA.
  • Manage market conduct issues/investigations of Advisors.
  • Monitor and manage compliance issues related to Advisors as brought forward by New Business and Policy Service teams.
  • Assist with the review of sales communications prior to circulation, as needed.
  • Engage in actions that encourage, reflect and align with PPI’s ESG (Environmental, Social and Governance) commitments to our Advisors, their clients and our employees.

Job Knowledge / Work Experience:

  • Excellent French and English language skills, both oral and written due to frequent interactions with French and English-speaking colleagues, internal partners and clients across Canada
  • 7-10 years in the financial services industry strongly preferred
  • 2 years in a regulatory compliance role strongly preferred
  • Strong knowledge of provincial laws and regulations governing insurance
  • Good knowledge of applicable federal legislation such as PIPEDA and Anti-Money Laundering/Anti-Terrorist Financing
  • Strong aptitude for regulatory and legal research
  • Excellent communication skills, both oral and written
  • Excellent negotiating, mediation and influencing skills
  • Proven ability to work effectively with others to establish and maintain collaborative and productive working relationships

Education, Certifications or Licenses

  • University degree in law, accounting or a related discipline preferred
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