Compliance Specialist

18 hours ago

Toronto, Canada Assurant Full time

**Job Description**:
**Compliance Specialist**

**Job Overview**

Reporting to the Compliance Manager, the Compliance Specialist will have responsibilities for compliance activities supporting the ABIC, ABLAC and ASCI business lines. Primary accountabilities: conduct distribution oversight activities, monitor legislative and regulatory developments, regulatory filings and correspondence, research and analysis of all licensing requirements and providing the Compliance Administrator with licensing guidance and support on day to day licensing functions, facilitation of Compliance’s Outsourcing Arrangements oversight program, Compliance training program oversight, data analytics, Anti-Money Laundering/Anti-Terrorist Financing, marketing/other collateral reviews for applicable business lines, and ensure all corporate filings and registrations are completed on a timely basis. The Compliance Specialist will also be expected to draft policies and procedures, contribute to Compliance Reports to the Chief Agent and senior management, perform market conduct reviews/monitoring, handle records retention inquiries, provide assistance to the Senior Compliance Specialist in regard to Regulatory Compliance Management risk-based activities, Operations compliance, Complaint Handling, Privacy matters and assist with other compliance initiatives/activities as directed.

**Responsibilities**:
Conduct distribution oversight activities (15%)
- Be knowledgeable of regulatory developments, requirements, and principles of treating customers fairly
- Track and analyze customer experience and distributor activities data to identify trends indicative of increased risk
- Implement monitoring activities tailored to key Client customer impacting activities - inform effort by integrating with data analytics to support a risk-based approach
- Draft reporting of distribution oversight activities

Monitor legislative and regulatory developments (5%)
- Document and communicate legislative and regulatory developments pertinent to the company’s business lines
- Facilitate the necessary business changes required to comply with legislative and regulatory developments

Anti-Money Laundering/Anti-Terrorist Financing (10%)
- Conduct annual AML/ATF risk assessment, produce draft report and oversee gap remediation efforts
- Create and update policies and procedures as required
- Act as a resource for and back-up to the Compliance Administrator on all monthly ATF activities
- Facilitate and provide support for the required bi-annual, independent controls effectiveness audit by Internal Audit Services
- Conduct investigations and report on identified matches
- Assist the Senior Director with the reporting of Anti-Money Laundering activities and confirmed Terrorist Property
- Responsible for reviewing outcomes provided daily by third-party monitoring platform

Licensing, Regulatory filings/correspondence, Corporate registrations (25%)
- Research and analysis of all licensing requirements
- Guide, support and back-up the Compliance Administrator with day-to-day licensing functions to ensure compliance
- Take lead on interactions with external regulatory staff on licensing matters and escalate areas of concern to the Senior Director
- Work closely with Business/Account Executives to ensure all licensing interactions with Clients run smoothly
- Ensure all regulatory and corporate filings and registrations respectively are completed in a timely manner

Compliance Outsourcing Arrangements oversight program (10%)
- Assist Senior Director with annual compliance outsourcing arrangements attestation
- Annual Third-Party Vendor Compliance Manual - work with the business to update training materials and facilitate for completion the compliance attestation from all selected vendors
- Provide business with day-to-day support

Compliance training program oversight (10%)
- Review, update, or draft (new) local modules annually
- Work closely with the Compliance Manager to ensure all active employees successfully complete all mandatory compliance training modules
- Ensure training completion reconciliations are conducted as needed to ensure 100% completion
- Responsible for Compliance Training Awareness Program and reporting to executive/senior management locally, internationally and corporately

Marketing/Other Collateral Reviews (15%)
- Perform independent Compliance reviews for applicable business lines/projects
- Work closely with business/account executives to ensure all customer facing material/client facing material is relevant and meets fair treatment of customers and compliance standards i.e., marketing material, client training, scripting, etc.

Other (10%)
- Handle records retention inquiries
- Provide assistance to the Senior Compliance Specialist in regard to Regulatory Compliance Management risk-based activities, Operations compliance, Complaint Handling and Privacy matters
- Draft policies and procedures
- Contribute to Compliance Reports to the Chief Ag

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