Compliance Specialist

2 weeks ago

Toronto, Canada IVARI Full time

**Welcome to**_ _**ivari**

Let us introduce ourselves. With 300 employees across Canada, ivari is a company that’s making a difference in the world of life insurance. How? By finding and hiring employees who are passionate about helping people protect their families, and by giving them the best, most supportive workplace possible.

At ivari, everyone is welcome It is our mission to attract, develop, and retain a workforce that is as diverse as the customers we serve and the communities in which we do business. We offer an inclusive and accessible work environment where all employees and customers feel valued, respected, and supported.

**Here’s the job opportunity**

**This is a 12 month contract opportunity**

The Compliance Specialist - Investigations will be responsible for supporting the Distribution Compliance program through conducting advisor investigations and data and trends analysis. You will ensure all assigned investigations are handled in a fair, transparent, objective, and factual manner in accordance with regulatory requirements, fair treatment obligations and ivari policies.
- As a Compliance Specialist - Investigations, you will
- Gather information and conduct impartial, independent, and objective investigations of sales advisors
- Make recommendations for actions based on investigations
- Ensure effective and timely communications with stakeholders on investigations, including courses of action, outcomes, associated risks and recommendations
- Prepare investigation report or substantive response letters for each investigative matter
- Monitor advisors’ corrective and remedial action plans
- Assist in review of escalated complaints in accordance with fair treatment and regulatory obligations
- Provide a Final Position Letter to the complainants and/or regulators
- Monitor and analyze trends in sales advisor’s conduct to recommend proactive measures for risk mitigation strategies to management

**What we are looking for**
- Post-secondary education that would align with the position
- Minimum 5 years experience in a compliance investigative role in the financial services industry at a bank, insurance company, or securities firm
- Sound understanding of insurance activities, products, and practices
- Strong verbal and written communication skills
- Strong analytical skills to make rational and logical deductions at times with limited information
- Ability to gather, analyze, organize, document and present large volumes of information in a succinct and organized manner.
- Current knowledge of regulations including relevant insurance policies and regulatory notices, applicable provincial and territorial rules, and regulations
- Financial services industry association memberships are an asset
- Bilingual in English and French (verbal and written) is an asset
- Technical knowledge and skill/ability with information and data management related tools

**What's in it for you**

At ivari, it's important for us to keep our people motivated, recognized and rewarded. When you join the ivari team on a contract position you also get
- Flexible and hybrid work arrangements
- Opportunities for professional development
- Recognition programs to cheer you on, motivate and reward
- Wellness programs to keep you healthy and happy

**Who you are**

Someone who enjoys a culture where everyone is genuinely respectful and you can be your authentic self every day. Your contributions and opinions are not only sought, but valued. You know the importance of, and live by, our core values of
- Bringing clarity and focus to your work
- Taking ownership and doing what you say you will
- Remaining flexible
- Collaborating with others

Does this sound like you? We’re looking for great people to join our team

Our commitment to inclusivity is reflected in the safeguards, policies and commitments we have in place to remove barriers and provide equal opportunities to prospective and current employees, without discrimination.

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