Supervisor, Insurance Compliance

2 months ago

Woodbridge, Canada HUB International Full time

**Supervisor, Insurance Compliance**

Insurance Division - HUB Financial (Ontario)

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 provide value-added services and support such as digital tools, education, marketing, and processing, to help Advisors elevate and grow their business by providing financial security and peace of mind to their clients.

When you join HUB Financial, 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 and collaborative with opportunities to learn and develop your skills and your career. At HUB, you have the opportunity to make a meaningful impact and support our independent insurance advisors with a commitment to service excellence.

**The Opportunity**:
**A Day in the Life**:
In collaboration and coordination with the Insurance Compliance Team leadership:

- Provide leadership of the Market Conduct and Advisor Compliance team and its policies and procedures.
- ** Advisor Compliance Adoption**: Ensure contracted advisors are aware of their legal and regulatory requirements through participation in educational programs, compliance questionnaires, and testing. Enhance the competencies and adoption of compliance requirements in the mind-set of contracted advisors. Identify training needs and resources through evaluation of existing compliance tools. Translate requirements into learning materials through the design and delivery of exceptional training videos, tools and guidance that will help groom the successful HUB advisor.
- ** MGA Oversight Program**:Supervision of advisor suitability and monitoring requirements for MGA contracted advisors. Assist with the analysis of data and documentation pertaining to the suitability and oversight of Advisors under contract with the MGA. Documentation and analysis pertaining to broker monitoring processes and sales trending for insurance and investment activities. Prepare reports of observations along with recommendations and escalate any actions required based on facts gathered from Insurance Councils, Insurers or other information obtained by HUB pertaining to continued suitability.
- ** Agency/Advisor Audit**: Participate in HUB advisor and Agency audits to ensure compliance with industry responsibilities and appropriate record keeping in client files. Provide support to Advisors and assist with remediation as needed.
- ** Complaint Management**: Manage complaints in accordance with the company complaint policy and procedures. Liaise with complainants in a sensitive and constructive manner to minimize further issues. Present a summary of complaints received and resolution steps to manager and, where necessary, E&O and legal. Engage with Insurer and internal colleagues to gather information required to fully investigate and facilitate resolution of the matters involved.
- ** Privacy Incident Management**: Manage and track privacy incidents and assist with analysis and resolution in accordance with company privacy program.
- Supervision and management of the advisors requiring MGA supervision and oversight.
- Assist in the compliance guidance and training for HUB Financial contracted advisors.
- ** Project Management**: Participate in projects pertaining to risk management and compliance programs as required.

**Who you are**:

- 3-5 years in the financial services industry
- 2 years in a regulatory compliance role strongly preferred
- Strong analytical and organizational skills with attention to detail
- Exceptional communication abilities (Both Written and Oral)
- Proficient in project management
- Strong commitment to maintaining confidentiality
- College diploma or equivalent preferred
- Experienced with life insurance sales and administration in an Insurer or MGA environment.
- Experience with WealthServ or other industry back-office systems is an asset
- 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 with hybrid work from home opportunity

**About HUB International**:
Headquartered in Chicago, Illin

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