Manager, Market Conduct Investigations

2 months ago

London, Canada Canada Life Assurance Company Full time

Manager, Market Conduct Investigations

**Description:
- Permanent Full Time- Do you want to join a supportive and collaborative team, take on new challenges, and make a difference to the company and its customers?- Market Conduct Investigations is looking for a Manager to join its team to help protect the company’s integrity and customer livelihoods by reviewing and resolving allegations of negligence and inappropriate conduct by financial advisors.- Reporting to the Director, the Manager will lead a team of investigators and play a key role in overseeing customer complaints, developing investigative plans, coaching the investigators, and helping to influence stakeholders in cases of utmost sensitivity when the stakes are high and there are competing priorities.**What you will do**- Lead, mentor and develop a high performing team of investigators who handle customer complaints involving allegations of negligence and misconduct about financial advisors and mutual fund representatives
Working closely with the Director, contribute to the development of policies and procedures for the investigations for both insurance products and mutual fund accounts
Report the outcome of customer complaints and investigations to senior management, including the Global and Canadian Chief Compliance Officers and other key internal and external stakeholders (i.e., Regulators, professional liability insurers, etc.)
Liaise with and provide oversight on responses to requests and inquiries for information from all Regulators (including provincial insurance regulators and the Canadian Investment Regulatory Organization)
Respond to and diffuse media and litigation threats in respect of customer complaints
Provide support to the law department on litigation matters
Promote collaboration and lead by example when consulting with multiple internal stakeholders to determine resolution options
Ensure team prepares comprehensive decision letters to customers advising of outcomes within regulator imposed or company recommended time limits
Review team’s draft reports and correspondence with a keen eye for detail, ensuring the work is tailored to the audience, and written in plain, clear, and concise language
Plan and execute special projects to enhance the effectiveness and capabilities of the Market Conduct Investigations team

**What you will bring**- Post-secondary degree, plus experience in and knowledge of the legal, compliance, and/or financial industry
Mutual fund and/or securities knowledge, which may be demonstrated by successful completion of relevant financial industry courses such as the Canadian Investment Funds Course, Branch Manager’s Examination Course and/or the Canadian Securities Course
Demonstrated knowledge and experience resolving customer complaints and/or conflicts using solution-oriented business and compliance judgement
Strong understanding of the regulations and policies governing the insurance, mutual fund, and securities industries
Proven record of leadership of a team of professionals with the ability to persuade and engage
Excellent verbal and written communication skills required to present value added options to partners, stakeholders, and senior officers
Strong collaboration, organizational and analytical skills with the ability to manage conflicting priorities and a fast-paced environment
Proven negotiating, problem-solving, and decision-making skills
Fluency in French or Mandarin is an asset
- The base salary for this position is between **$78,600**:

- $131,000 **annually. This represents base salary only and does not represent other variable compensation components of our total compensation ( i.e. annual bonus, commission etc). If you are selected to move forward in our recruitment process, your recruiter will be able to discuss additional details of our total rewards program with you.-
- Be your best at Canada Life- Being a part of Canada Life means you have a voice. This is a place where your unique background, perspectives and talents are valued, and shape our future success.- You can be your best here. You’re part of a diverse and inclusive workplace where your career and well-being are championed. You’ll have the opportunity to excel in your way, finding new and better ways to deliver exceptional customer and advisor experiences.- Together, as part of a great team, you’ll deliver on our shared purpose to improve the well-being of Canadians. It’s our driving force. Become part of a strong and successful company that’s trusted by millions of Canadians to do the right thing.- Canada Life serves the financial security needs of more than 13 million people across Canada, with additional operations in Europe and the United States. As members of the Power Financial Corporation group of companies, we’re one of Canada’s leading insurers with interests in life insurance, health insurance, investment and retirement savings. We offer a broad portfolio of financial and benefit

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