Regional Compliance Consultant

2 weeks ago

Winnipeg, Canada Canada Life Assurance Company Full time

**Job Description**:
We are looking for a
**_Regional Compliance Consultant_**

Employing a consultative approach, you will proactively engage with distribution partners (i.e. advisors, management, and administrative staff) to help drive strong awareness on all applicable mutual fund and insurance regulatory and compliance matters. Leveraging your comprehensive knowledge of securities legislation, Mutual Fund Dealers Association’s rules and policies, Insurance and other applicable regulatory requirements (e.g. FATCA, AML, Privacy, CASL) you will assist them in establishing and maintaining compliant business practices.

**What you will do**
- Execute job responsibilities with sound judgement and in support of operational resilience
- Appropriately address relevant risk, compliance, audit and regulatory findings on a timely basis.
- Educate advisors, field leaders and support staff about mutual fund and insurance compliance; conduct ad hoc and formal mutual fund and/or insurance training sessions.
- Perform yearly branch/sub-branch reviews in accordance with MFDA Policy 5 and the Quadrus branch review program; follow up on any noted deficiencies.
- Perform yearly insurance assessments in accordance with the Advisor Compliance assessment program; follow up on any required remediations.
- Document review/assessment results and communicate same to various stakeholders in the field and head office.
- Liaise with and support Quadrus Branch Managers in relation to their supervision of mutual fund sales activities; communicate with them on a regular basis about issues/concerns and act as an escalation point in addressing these with advisors and field leaders.
- Support Quadrus branch manager monthly close supervision, as applicable, of advisors who are registered with terms and conditions.
- Liaise/communicate with securities regulators, industry representatives & participate on committees

**What you will bring**
- Comprehensive knowledge of SRO, provincial securities acts, regulations, policies and securities related rules in the applicable province
- Familiarity with Canada Anti-Spam, AML/ATF, PIPEDA, FATCA/CRS & Do Not Call List legislative requirements as applicable to our business
- Understanding of CLHIA guidelines and provincial insurance acts in terms of needs-based selling, advisor responsibilities/unfair practices/licensing
- In-depth knowledge of Dealer (Quadrus) sales force trading practices/requirements and administrative processes
- Completion of CSC/IFIC sales designation courses; completion of branch manager course is an asset
- Previous registration as a dealing representative of a mutual fund dealer or other securities registration is an asset
- Strong interpersonal skills and relationship management. Ability to foster working relationships with all business partners with strong negotiation skills
- Proven leadership skills, with the ability to introduce change
- Excellent analytical, strong problem-solving skills and trouble-shooting ability
- Excellent communication skills - both verbal and written
- Excellent Microsoft Office skills

**_ Given the size and scope of our organization, we have the flexibility for this position to be located in the following head office locations: Winnipeg, Calgary, Edmonton_**

**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.

**We are one of Canada's top 100 employers**
- 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 plan solutions for individuals, families, businesses and organizations._
- We are committed to providing an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of the communities in which we live, and to creating an environment where every employee _
- has the opportunity to_
- reach their potential._

**_
Canada Life would like to thank all applicants, however only those who qualify for an interview will be contacted_

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