Advisor Compliance Specialist

3 weeks ago

Woodbridge, Canada HUB International Full time

**Advisor Compliance Specialist**

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.

**The Opportunity**:
As a **Advisor Compliance Specialist **you'll support key compliance functions, including broker suitability reviews, market conduct concerns, and data analysis for trending reports. You'll coordinate with insurers, prepare detailed reports, and ensure brokers meet regulatory requirements. Use your experience in life insurance administration, broker contracting, and project management to help maintain high standards of compliance and business conduct.

**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.
- 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

**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

**Working Conditions**:

- Normal office environment and/or Hybrid Work-from-Home

**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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