Compliance Analyst

7 months ago

North York, Canada iA Groupe financier iA Financial Group Full time

**PPI company overview**:
**PPI (an independent subsidiary of iA Financial)** is an Insurance Marketing Organization that sits between independent advisors and insurance companies. From coast-to-coast, we provide value-added services and support such as digital tools, education, marketing, and processing, to help Advisors elevate and grow their business with a socially responsible mindset.

At PPI, each day you have the opportunity to make a meaningful difference when you support our independent insurance advisors in providing financial security and peace of mind to their clients: Canadian families and businesses.

When you join PPI 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, inclusive and collaborative with opportunities to learn and develop your skills, develop your career and make a meaningful impact.

Our people drive our progress through innovative ideas and a commitment to excellence. We work hard and always ensure we have fun along the way.

PPI is pleased to provide employees with the flexibility of a hybrid work environment. This role is eligible for working from home up to 3 days per week.

**Compliance Analyst**

**Key Responsibilities**:
In collaboration and coordination with the Compliance Team:

- Assist with creating, documenting, maintaining, promoting and auditing policies and procedures that define and conform to the ethical and regulatory compliance requirements of the insurance industry and relevant industry organizations.
- Ensure that contracted advisors are aware of and familiar with legal and regulatory requirements, policies and procedures, through participation in mandatory educational programs, compliance questionnaires, and knowledge testing, and reporting upon such activity.
- Identify areas of vulnerability relative to prevailing regulations and assist in developing review mechanisms to guard against the risk.
- Maintain appropriate records of complaints and the complaint management process, analyzing trends to help identify corrective actions required to prevent future occurrences of the violation, such as revising policies and procedures and updating training programs.
- Participate in projects pertaining to risk management, compliance, Anti-Money Laundering and privacy standards as required.
- Provide assistance in the preparation and completion of the CLHIA MGA Compliance Review Survey for various insurance carriers and track feedback from carriers.
- Provide support to advisors with Advisor Practice Reviews from carriers and regulators and track various aspects of the process, results and remediation, as needed.
- Act as a liaison between Agency Services and Sales to ensure appropriate screening of advisors as well as ongoing monitoring to ensure advisors remain suitable after contracting.
- Report on and track market conduct issues/investigations of advisors.
- Monitor compliance issues related to advisors as brought forward by New Business and Policy Service teams.
- Assist with testing, reviewing and updating the Business Continuity Plan.
- Monitor and track confidentiality incidents and assist with analysis and resolution.

**Job Knowledge / Work Experience**:

- Minimum of 5 years in the financial services industry is strongly preferred
- 2 years in a regulatory compliance role strongly preferred
- knowledge of provincial laws and regulations governing insurance preferred
- Knowledge of applicable federal legislation such as PIPEDA and Anti-Money Laundering/Anti-Terrorist Financing preferred
- Strong analytical skills
- Excellent communication skills, both oral and written
- Proven ability to work effectively with others to establish and maintain collaborative and productive working relationships
- Bilingualism in English and French preferred

**Education, Certifications or Licenses**
- University degree or college certificate in a related discipline preferred
- We thank all applicants for applying, however, only those selected for an interview will be contacted. Your resume may be used for other vacancies._

**Company Overview**:
**About**:
iA Financial Group is the strength of a company with a human side, with its over 8,000 employees. Together, we have earned the trust of our more than four million clients and 50,000 advisors who have chosen us for their insurance, savings, and wealth management.

With over $200 billion in assets and half a billion invested in technological innovation, we’re a key player in the financial services industry in Canada and the United States. The secret to our success? Investing in you, one person at a time. Because, for over 125 years, we have believed that it’s by supporting our employees and surrounding ourselves with the most reputable leaders in the industry, we will continue to innovate.

At iA, we’re invested in you.

**Our commitment to Diversity and Inclusion**:
At iA Financial Group, we support and celebra

  • Head of Compliance

    2 weeks ago

    North York, Canada LiveVie Full time

    LiveVie located in Toronto Canada, is in the dynamic field of connected FinTech. The leadership team is comprised of highly positive, energetic, experienced members that value teamwork, personal accountability, the will to win, respect for people, integrity and quality! Learning from oneself and others makes LiveVie a fun place to spend your professional...

  • Data Analyst

    7 months ago

    North York, Canada Sheaves Capital Full time

    Join our dynamic, growing team at Sheaves Capital. We are committed to providing working capital and exceptional customer service to small businesses throughout Canada. Sheaves Capital is seeking a **Data Analyst** who will be responsible for determining our customers’ creditworthiness. The Data Analyst will work closely with our partners and agents in...

  • Data Analyst

    7 months ago

    North York, Canada Sheaves Capital Full time

    Join our dynamic, growing team at Sheaves Capital. We are committed to providing working capital and exceptional customer service to small businesses throughout Canada. Sheaves Capital is seeking a **Credit Risk Analyst** who will be responsible for determining our customers’ creditworthiness. The Credit Risk Analyst will work closely with our partners...

  • Credit Risk Analyst

    7 months ago

    North York, Canada Sheaves Capital Full time

    Join our dynamic, growing team at Sheaves Capital. We are committed to providing working capital and exceptional customer service to small businesses throughout Canada. Sheaves Capital is seeking a **Credit Risk Analyst** who will be responsible for determining our customers’ creditworthiness. The Credit Risk Analyst will work closely with our partners...

  • Credit Risk Analyst

    7 months ago

    North York, Canada Sheaves Capital Full time

    Join our dynamic, growing team at Sheaves Capital. We are committed to providing working capital and exceptional customer service to small businesses throughout Canada. Sheaves Capital is seeking a **Credit Risk Analyst** who will be responsible for determining our customers’ creditworthiness. The Credit Risk Analyst will work closely with our partners...

  • Credit Risk Analyst

    7 months ago

    North York, Canada Sheaves Capital Full time

    Join our dynamic, growing team at Sheaves Capital. We are committed to providing working capital and exceptional customer service to small businesses throughout Canada. Sheaves Capital is seeking a **Credit Risk Analyst** who will be responsible for determining our customers’ creditworthiness. The Credit Risk Analyst will work closely with our partners...

  • Privacy Analyst

    7 months ago

    North York, Canada AlertDriving Full time

    **Privacy Analyst - Job Description**: Reporting to the Data Privacy & Security Manager, or the Chief Privacy Officer, the Privacy Analyst is responsible to provide operational support and assistance with all aspects of Data Privacy and related documentation. This role is responsible for supporting privacy practices in accordance with organizational...

  • Financial Analyst

    5 hours ago

    North York, Canada Go Lime Inc. Full time

    About the Company:Go Lime stands out as Ontario’s market leader in sustainable home and commercial solutions. Our centralized focus is to make home comfort a seamless, accessible and enjoyable transaction for our customers. With decades of specialization in energy-efficient plumbing, electrical, solar and water heating solutions – Go Lime strives to...

  • Financial Analyst

    5 hours ago

    North York, Canada Go Lime Inc. Full time

    About the Company:Go Lime stands out as Ontario’s market leader in sustainable home and commercial solutions. Our centralized focus is to make home comfort a seamless, accessible and enjoyable transaction for our customers. With decades of specialization in energy-efficient plumbing, electrical, solar and water heating solutions – Go Lime strives to...

  • Business Analyst

    2 weeks ago

    North York, Canada Alert Driving Full time

    **Business Analyst** **Scope of Position**: The Business Analyst supports the ongoing transformation of our business through the delivery of improvements to systems and processes. Working cross-functionally with IT, business leaders, and stakeholders you will be engaged in medium to large, very complex projects that solve and resolve enterprise business...

  • Financial Analyst

    7 months ago

    North York, Canada DMSOLVING CORPORATION Full time

    **Financial Analyst** **Location: North York, ON** DMSOLVING CORPORATION is seeking a full-time Financial Analyst to join our team in our North York, ON office. This position will be responsible for the following: - Review and analyze financial statements for accuracy and relevance - Analyze and review the company’s balance sheet and profit statement...

  • Collateral Analyst

    6 days ago

    North York, Canada Garrington Group Full time

    **_Company Overview:_** Garrington Group of Companies is a full-service working capital and trade finance company. We place a great importance on our core values of empathy, integrity, respect, reliability, and excellence. We are committed to demonstrate these values in our culture, in every interaction and with every person involved within our...

  • Business Analyst

    3 days ago

    North York, Canada EGATE Networks Full time

    **Business Analyst** **About us**: **EGATE Networks **is a leading provider of managed network services, VoIP solutions and digital signage. Whether we’re an extension of a client’s existing IT team, or managing their outsourced IT structure, we’re customer obsessed and aim to provide best in class services. Our team is small but our impact is...

  • IT Systems Analyst

    2 weeks ago

    North York, Canada Reflex Integrated INC Full time

    **Job description** **Role: IT System Analyst** Reflex Integrated Inc. is a leading Canadian-based IT service provider. We provide end-to-end IT solutions to support existing and growing business needs for clients across North America. We are a dynamic and rapidly growing company that is looking for a skilled IT System Analyst to join our team. **Roles &...

  • Collateral Analyst

    7 days ago

    North York, Canada Garrington Group Full time

    **_Company Overview:_** Garrington Group of Companies is a full-service working capital and trade finance company. We place a great importance on our core values of empathy, integrity, respect, reliability, and excellence. We are committed to demonstrate these values in our culture, in every interaction and with every person involved within our...

  • Payroll Analyst

    7 months ago

    North York, Canada Classic Fire + Life Safety Inc. Full time

    Thank you so much for considering our company in your career search! Classic Fire + Life Safety is a leader in the fire protection and life safety industry because of our talented, knowledgeable, and motivated staff. We know that it is our people who make the difference, and we are looking to grow our team of passionate professionals. Interested in joining...

  • Accounting Analyst

    2 weeks ago

    North York, Canada Tekgroup Full time

    Manage all A/R clearing of Promo Trade and Billbacks for all CCMs - Maintain A/R tracker - Validate performance against the deal sheet criteria - Validate volume for any deals applicable - Prepare and send out invoices - Process incoming payments - Reconcile customer accounts - Issue credit notes - Create AR aging and metrics reports - Follow up with...

  • Financial Analyst

    24 hours ago

    North York, Canada Go Lime Inc. Full time

    About the Company:Go Lime stands out as Ontario’s market leader in sustainable home and commercial solutions. Our centralized focus is to make home comfort a seamless, accessible and enjoyable transaction for our customers. With decades of specialization in energy-efficient plumbing, electrical, solar and water heating solutions – Go Lime strives to...

  • Financial Analyst

    4 hours ago

    North York, Canada Go Lime Inc. Full time

    About the Company:Go Lime stands out as Ontario’s market leader in sustainable home and commercial solutions. Our centralized focus is to make home comfort a seamless, accessible and enjoyable transaction for our customers. With decades of specialization in energy-efficient plumbing, electrical, solar and water heating solutions – Go Lime strives to...

  • Financial Analyst

    1 hour ago

    North York, Canada Go Lime Inc. Full time

    About the Company: Go Lime stands out as Ontario’s market leader in sustainable home and commercial solutions. Our centralized focus is to make home comfort a seamless, accessible and enjoyable transaction for our customers. With decades of specialization in energy-efficient plumbing, electrical, solar and water heating solutions – Go Lime strives to...