Compliance Officer

6 months ago

Markham, Canada QUALIFIED FINANCIAL SERVICES Full time

**About you**:
You’re a committed operational expert who understands the role of compliance to protect a financial security advisor and their practice. While you may not have a resume full of compliance experience, you do have operational insurance industry experience and you’re committed to learning and growing. You bring your best every day and are able to strike a balance between ensuring QFS is running a compliant business and following compliance requirements while also being advisor-centric. Your attention to detail and ability to look at the facts to make recommendations ensure that you take an objective approach to compliance situations.

You also understand the need to be proactive in developing training plans and advisor audit schedules while managing incoming compliance issues. You are adept at juggling multiple priorities.

As the lead compliance expert at QFS you are a relied-upon go-to for advisors, carriers and various QFS team members. You take your work seriously and have a high sense of responsibility and integrity.

**Responsibilities**:
**Protecting an advisor’s practice**
- Partner with independent advisors to help them run a compliant practice
- Review compliance programs 1:1 with advisors
- Work through compliance situations that carriers bring forward on individual advisors to determine a recommended course of action
- Answer compliance questions from advisors and QFS employees
- Be the single point of contact for all compliance support
- Work closely with the President, QFS, on complex compliance situations

**Leading compliance reviews and audits**
- Conduct random advisor audits by reviewing full compliance standards and select client files to identify deficiencies, ensure needs-based sales practices, fair treatment of customers and sales suitability
- Monitor MFDA, FSRA, CISRO, IIROC disciplinary actions
- Proactively monitor regulatory bodies such as FINTRAC and PIPEDA for updates and ensure QFS compliance regime is updated accordingly
- Liaise with carrier partners to address disciplinary issues, client complaints, conflicts of interest and adherence to market conduct agreements
- Submit CLHIA Surveys with supporting documents as annual attestation for QFS compliance to meet carrier contract commitments
- Review and update QFS compliance regimen to align with industry changes and standards

**Compliance development and programming**
- Support annual training plans in partnership with Manager, Marketing & Events
- Create training materials using a variety of mediums in partnership with Manager, Marketing, Digital as part of the QFS training library
- Work with the Manager, Communications to inform advisors of any industry changes

**Qualifications**:

- Post-secondary education a must
- 3-5 years operational experience in the life insurance industry in Ontario
- Ability to communicate tactfully and appropriately when dealing with sensitive issues
- Masterful at managing multiple priorities and changing priorities
- High level of attention to detail
- Strong communication skills; the ability to think ahead and proact vs only react
- Outcome-focused, not only delivering on a task
- Committed to building strong relationships internally and with key external stakeholders
- Very strong organizational skills
- Confident and enthusiastic about being in a support role
- Polished and professional

**What we offer**:

- Competitive salary and benefits
- Offices across Canada with the ability to relocate
- Opportunities for career advancement
- Personal and sick days in addition to vacation days
- Variety, no two days will look alike
- HYBRID working schedule; one day per week off-site
- Reduced Friday hours on long weekends
- Recognition for both performance and tenure
- Opportunity to earn bonuses, rewards and participate in incentive programs
- Ongoing customer service training and regular, informal performance reviews
- Free parking
- Free catered lunches and company outings (on occasion)
- Fun

**Job Types**: Full-time, Permanent

**Salary**: $60,000.00-$65,000.00 per year

**Benefits**:

- Company events
- Dental care
- Disability insurance
- Employee assistance program
- Extended health care
- Life insurance
- On-site parking
- Paid time off
- Work from home

Schedule:

- Monday to Friday

Ability to commute/relocate:

- Markham, ON L3R 1A2: reliably commute or plan to relocate before starting work (preferred)

**Education**:

- Bachelor's Degree (preferred)

Work Location: In person

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