Compliance Analyst

4 months ago

Woodbridge, Canada HUB International Full time

At HUB Financial, we pride ourselves on fostering an environment dedicated to professional growth and client-centric values. As part of the HUB International family, we specialize in offering tailored financial and insurance solutions, empowering our clients to achieve their long-term goals. Our commitment to excellence extends beyond delivering top-tier insurance products - it encompasses a culture that values collaboration, innovation, and continuous learning.

**We are Proud to Offer**:
Customizable flexible benefits options for you and your family

Company matching RRSP contributions

Comprehensive tuition financing and career-related training and development

We promote work-life balance through flexible scheduling and hours

Mental and physical wellness initiatives

Advancement opportunities

**HUB Cares**: we are a company that gives back and is active in the community

Learn more about HUB’s Culture & Value Here

**The Opportunity**:
**A day in the life**:
**Broker/Advisor Suitability**: Review broker accounts and escalate areas of concern relating to financial instability, incomplete or expired compliance documents, regulatory enforcement, conduct activities and sales trending. Assess, document and escalate any action required relating to credit, conduct or compliance issues based on facts gathered from Insurance Councils, Insurer Head Offices or other information obtained by HUB.

**Market Conduct Concerns**: Coordinate the successful completion of all market conduct concerns identified through the collection of data, assessment and follow ups. Liaise with Insurer Head Office Compliance contacts to ensure resolution of all broker conduct issues identified.

**Broker/Advisor Monitoring**: Report preparation and data analysis pertaining to HUB monitoring processes and trending reviews for insurance and related investment activities. Maintain internal reporting of information collected and issues that are escalated.

**Broker/Advisor Audit**: Collaborate with Insurers in advisor audits to ensure compliance with industry responsibilities and appropriate record keeping in client files. Conduct random review of advisor compliance with licensee responsibilities and record keeping in client files.

**Data Analysis**: Analyze data pertaining to the review of Brokers on ‘Watch’ and prepare reports of observations along with recommendations pertaining to continued suitability.

**Project Management**: Assist with and coordinate project work as assigned.

**Who you are**:
Excellent working knowledge of Microsoft Office (excel, outlook, word & power point)

Demonstrated ability to communicate (written and verbal) effectively

Detail oriented and good organizational skills

Strong sense of confidentiality

Three or more years’ experience with life insurance administration in an Insurer or Managing General Agency environment

Background in broker contracting and related compliance requirements and regulations

Experience with WealthServ, APEXA or other industry back-office systems is an asset

College Diploma or other post-secondary education or equivalency

Good project management skills

Bilingual in French and English is an asset

**Work Schedule**:
Hybrid

**About HUB International**:
Headquartered in Chicago, Illinois, Hub International Limited is a leading full-service global insurance broker and financial services firm providing risk management, insurance, employee benefits, retirement and wealth management products and services. With more than 18,000 employees in offices located throughout North America, HUB’s vast network of specialists brings clarity to a changing world with tailored solutions and unrelenting advocacy, so clients are ready for tomorrow.

Through our dedication to excellence and innovation, we are proud to have achieved the remarkable distinction of ranking 5th largest insurance brokerage worldwide We're not just an insurance broker, we bring clarity to a changing world with tailored solutions and unrelenting advocacy.

If you’re interested in learning how you can grow your career at HUB, visit our Careers Page to explore our opportunities.

Department Office Administration & Clerical

**Required Experience**: 2-5 years of relevant experience

**Required Travel**: No Travel Required

**Required Education**: College diploma (3-year degree)

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