Compliance Analyst

6 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

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