Associate Manager, Advisor and Quadrus Compliance

2 weeks ago

London, Canada The Canada Life Assurance Company Full time

Permanent Full Time

As the Associate Manager, Advisor and Quadrus Compliance, you will help to ensure regulatory compliance for Quadrus mutual fund dealer, Advisor practices and distribution channels within Canada Life. This includes interpreting legislation and regulation, developing and refining processes to improve compliance and reduce risk and maintaining dealer policies and procedures manual.

Reporting into the Director, Advisor and Quadrus Compliance you will be responsible for;
- Providing expertise and advice on regulatory compliance obligations to business partners and advisors
- Updating policies and procedures to met new and revised CIRO rules
- Identify risks and develop risk mitigation strategies to improve compliance
- Ensuring privacy obligations are met by Quadrus including consent, retention and breach response procedures etc.
- Monitoring, interpreting and maintaining awareness of various new and existing regulatory and compliance requirements including topics such as conflicts of interest, AML, AODA, licensing, CCIR, vulnerable clients, etc.
- Demonstrating a high level of technical and business acumen to ensure compliance risk is managed appropriately
- Participation in business led initiatives and developing solutions to ensure compliance

**What you will do**
- Develop and maintain deep knowledge of various legislative obligations at both the provincial and federal level as well as regulations of self-regulatory organizations (CIRO) and industry groups.
- Use knowledge to ensure processes meet strict regulatory requirements related to securities and other regulatory requirements.
- Supporting advisors in privacy breach response processes
- Design effective solutions for Advisors, Quadrus and Canada Life to meet new and amended regulatory and legislative obligations.
- Communicate regulatory and legislative changes to advisors and provide processes, tools and resources to help meet obligations.
- Preparation for and handling of audit examinations conducted by Internal audit and CIRO
- Liaise and consult with legal, corporate compliance functions, market conduct to ensure accuracy of solutions designed.

**What you will bring**
- 5 years of progressive compliance experience within mutual fund or securities industry
- Deep knowledge of mutual fund regulation
- Familiarity of Insurance legislation
- Experience reviewing and tri-aging new legislation / regulation
- Ability to build relationships and influence change effectively with a broad range of individuals and groups.
- Very good organizational skills with strong attention to detail, ability to prioritize, multi-task and meet deadlines.
- Excellent verbal and written communication skills.

**_
Given the size and scope of our organization, we have the flexibility for this position to be located in the following head office locations: London, Toronto and Winnipeg._**

The base salary for this position is between **$65,400****:

- $114,500** annually. This represents base salary only and does not represent other variable compensation components of our total compensation ( i.e. annual bonus, commission etc). If you are selected to move forward in our recruitment process, your recruiter will be able to discuss additional details of our total rewards program with you.

Be your best at Canada Life

Being a part of Canada Life means you have a voice. This is a place where your unique background, perspectives and talents are valued, and shape our future success.

You can be your best here. You’re part of a diverse and inclusive workplace where your career and well-being are championed. You’ll have the opportunity to excel in your way, finding new and better ways to deliver exceptional customer and advisor experiences.

Together, as part of a great team, you’ll deliver on our shared purpose to improve the well-being of Canadians. It’s our driving force. Become part of a strong and successful company that’s trusted by millions of Canadians to do the right thing.

Canada Life serves the financial security needs of more than 13 million people across Canada, with additional operations in Europe and the United States. As members of the Power Financial Corporation group of companies, we’re one of Canada’s leading insurers with interests in life insurance, health insurance, investment and retirement savings. We offer a broad portfolio of financial and benefit plan solutions for individuals, families, businesses and organizations.

We are committed to providing an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of the communities in which we live, and to creating an environment where every employee has the opportunity to reach their potential.

Canada Life would like to thank all applicants, however only those who qualify for an interview will be contacted.

LI-Hybrid

  • External In-kind Transfer Specialist Quadrus

    1 week ago

    London, Canada Canada Life Assurance Company Full time

    **Job Description**: Reporting to the Team Leader, Quadrus Services & Admin., you will be responsible for “in kind” transfers of third party funds between Quadrus Investment Services and other mutual fund dealers and advisors transferring their books of business in/out of Quadrus. **What you will do**: - Review client statements, providing quotes...

  • Trust Accounting

    2 weeks ago

    London, Canada Canada Life Assurance Company Full time

    **Job Description**: Reporting to the Assistant Manager, Quadrus Trust & Settlement, the Trust Accounting & Settlement Technician operates in a fast paced environment with ties to both Financial Operations and Wealth Operations. The Trust and Settlement team is responsible for the reconciliation of individual client trust accounts and the settlement of all...

  • Trust Accounting

    1 week ago

    London, Canada Canada Life Assurance Company Full time

    **Job Description**: Reporting to the Assistant Manager, Quadrus Trust & Settlement, the Trust Accounting & Settlement Technician operates in a fast paced environment with ties to both Financial Operations and Wealth Operations. The Trust and Settlement team is responsible for the reconciliation of individual client trust accounts and the settlement of all...

  • Trust Accounting

    2 weeks ago

    London, Canada Canada Life Assurance Company Full time

    **Job Description**: Reporting to the Assistant Manager, Quadrus Trust & Settlement, the Trust Accounting & Settlement Technician operates in a fast-paced environment with ties to both Financial Operations and Wealth Operations. The Trust and Settlement team is responsible for the reconciliation of individual client trust accounts and the settlement of all...

  • Associate Advisor

    4 weeks ago

    London, Canada Desjardins Financial Security Independent Network - Ottawa #118 Full time

    **ASSOCIATE ADVISOR**: **Desjardins Financial Security Independent Network**: Desjardins Financial Security Independent Network (DFSIN) is currently recruiting a permanent, full-time Associate Advisor to join our successful, innovative, and growing firm. If you are passionate about helping people reach their goals, enjoy a team environment and are looking...

  • Associate Advisor

    1 week ago

    London, Canada Desjardins Financial Security Independent Network - Ottawa #118 Full time

    **ASSOCIATE ADVISOR**: **Desjardins Financial Security Independent Network**: Desjardins Financial Security Independent Network (DFSIN) is currently recruiting a permanent, full-time Associate Advisor to join our successful, innovative, and growing firm. If you are passionate about helping people reach their goals, enjoy a team environment and are looking...

  • Associate Financial Advisor

    1 week ago

    London, Canada The Cooperators Full time

    The Associate Financial Advisor plays a key role in supporting and developing agency operations through outbound prospecting, client contact and sales activities. This role may have an opportunity to specialize in one or more product areas such as life, group and wealth. The Associate Financial Advisor will identify prospects in both personal and business...

  • Compliance Manager

    2 weeks ago

    London, Canada The Canada Life Assurance Company Full time

    Temporary Full Time We are looking for a Manager, Compliance. This role reports to the Director, Corporate Compliance, Lifeco and Canada, and is responsible for supporting a strong compliance and risk management culture by leading initiatives and business as usual activities related to the Regulatory Compliance Management framework. In doing so, the role...

  • Advisor Support Associate

    2 weeks ago

    London, Canada Canada Life Assurance Company Full time

    **Job Description**: **We are Canada Life** Being a part of Canada Life means you have a voice. This is a place where your unique background, perspectives and talents are valued, and shape our future success. You can be your best here. You’re part of a diverse and inclusive workplace where your career and well-being are championed. You’ll have the...

  • Associate Financial Advisor

    3 weeks ago

    London, Canada Assante Wealth Management - The Andrews Group Full time

    **Position**: Associate Financial Advisor **Company**: Assante Wealth Management/The Andrews Group **Location**: London, Ontario We are hiring for one of our wonderful clients in the wealth management industry. Assante Wealth Management/The Andrews Group is a well-established firm providing exceptional and trusted wealth planning advice to discerning...

  • Associate Financial

    2 weeks ago

    London, Canada Cooperators Full time

    The Associate Insurance/Financial Advisor plays a key role in supporting and developing agency operations through client contact and service/sales activities. This role may have an opportunity to specialize in one or more product areas such as life, business, home, auto and wealth. The Associate Insurance/Financial Advisor will determine/assess needs of a...

  • Fsc - Advisor Support Associate

    3 weeks ago

    London, Canada The Canada Life Assurance Company Full time

    Permanent Full Time We are looking for an Advisor Support Associate to join our Financial Solutions Centre! Reporting to the Assoc Mgr Insurance Link, Financial Solutions Centre the Advisor Support Associate will contribute to our Financial Service Representatives success by providing value-added sales and client service support to help us grow our...

  • Nuclear Compliance Associate

    3 weeks ago

    London, Ontario, Canada Boston Scientific Gruppe Full time

    Diversity - Innovation - Caring - Global Collaboration - Winning Spirit - High PerformanceAt Boston Scientific, we'll give you the opportunity to harness all that's within you by working in teams of diverse and high-performing employees, tackling some of the most important health industry challenges. With access to the latest tools, information and training,...

  • Manager, Compliance

    2 weeks ago

    London, Canada Canada Life Assurance Company Full time

    **Job Description**: The Manager, Compliance is responsible for driving and maintaining compliance processes and deliverables for the Investment Fund Manager, Canada Life Investment Management Ltd. (CLIML). CLIML is registered as an investment fund manager, portfolio manager and commodity trading manager. Its primary regulator is the Ontario Securities...

  • Manager of Advisor Partnerships

    3 weeks ago

    London, Canada Financial Horizons Group Full time

    Are you looking to be the face of a dynamic and evolving advisor value proposition? Are you an individual who can identify and close potential leads to acquire new business? Do you get excited about the opportunity to offer client consultation using customized sales, marketing, and educational advice? If you nodded ‘yes’ to those questions, you may be...

  • Merchandising Compliance Associate

    4 days ago

    London, Ontario, Canada MCA - Merchandising Consultants Associates Part time

    About the RoleMCA - Merchandising Consultants Associates is seeking a skilled Merchandising Compliance Associate to ensure our retail partners maintain accurate pricing and comply with regulatory requirements.In this critical role, you will scrutinize out-of-stocks, on-shelf availability, and product facings to improve product placement and customer...

  • Manager, Tax Compliance

    1 week ago

    London, Canada Canada Life Assurance Company Full time

    Manager, Tax Compliance **Description: - Permanent Full Time- We are looking for a **_Manager, FATCA/CRS_** **Role Description** - FATCA and CRS activity is spread across all business units and departments and includes account opening due diligence, communication with advisors and clients, procedure development and training, data extraction, transformation...

  • Customs Compliance Associate

    4 weeks ago

    London, Ontario, Canada Harris Geospatial Solutions Full time

    Customs Compliance, AssociateReference #20432Waterdown, OntarioAbout the RoleApplies customs regulations to product classification, origin determination, inbound and outbound processes, internal and broker procedures. Supports implementation of policies and procedures in-line with customs requirements. Reviews import/export data to ensure compliance....

  • Wealth Associate Specialist

    5 days ago

    London, Ontario, Canada Banque Nationale du Canada Full time

    About Us">National Bank Financial – Wealth Management is a leading investment brokerage firm in Canada. With close to 1,000 investment advisors managing the assets of over 400,000 clients across approximately 100 branches, we offer an exceptional client experience. You will team up with a wealth advisor to provide top-notch service and collaboration will...

  • Associate Branch Manager Cibc Wood Gundy

    2 weeks ago

    London, Canada CIBC Full time

    We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are...