Manager, Market Conduct

6 months ago

London, Canada Canada Life Assurance Company Full time

**Job Description**:
We are looking for a
**_Manager, Market Conduct_**
- Effective management and oversight of regulatory compliance management for Advisory Network
- execute on regulatory obligations, including providing challenge, oversight, expertise, and guidance to the business as it relates to our regulatory compliance management obligations associated with our distribution
- Collection, analysis and reporting of key conduct risk measures to executive leadership and regulatory bodies (CCIR Annual statement of Market Conduct).
- Effective challenge and oversight related to regulatory compliance and compliance risk management for Advisory Network
- as it relates to our regulatory compliance management obligations associated with our distribution strategy, including oversight of our independent (MGA/NA), direct (ADSL/FSC) and affiliated (FHG/Other) channels.,. Oversight and supervision of the independent channel includes the annual survey and onsight review process.
- Effectively demonstrate a high level of technical and business acumen to ensure our compliance and conduct risk is managed appropriately. Advance knowledge of a broad range of technical topics is required, including:

- Participation in business led initiatives which includes providing the business with insights into new and proposed regulatory changes, and assisting with implementation
- Oversight and governance of the marketing material review process to ensure adherence to our conduct risk operating standard

**What you will do**:

- Timely assessment of regulatory compliance issues
- Timely assessment of conduct risk issues
- Effective in making recommendations to senior management in compliance (oversight) and in the 1st line (business)
- Provide effective (timely and constructive) challenge and oversight over 1st line distribution, and compliance processes
- Provide timely advice on complex compliance and conduct risk related issues
- Work cross functionally by interacting effectively with other functions such as legal, finance and other areas of compliance Effective team leadership
- Effective development of team members
- Provide timely reporting related to Advisory Network compliance and conduct risk - to both the business and corporate, governance, & oversight functions
- Provide timely responses to regulators

**What you will bring**:

- Work and decisions making involves the solving of unique and non-recurring problems.
- Regularly must review and evaluate unusual circumstances and situations to arrive at decisions. In depth analysis is often required.
- Considerable impact on internal on-going operationIn addition to internal contacts, most external contacts are with management (regulators, industry associations) of outside organizations and occasional contact with clients.
- Communications skills require to be a high level to ensure significant contacts are handled with diplomacy as there is potential for impact on company’s results/reputation, regulator scrutiny, media attention and increased litigation riskIn depth knowledge of applicable distribution legislation/regulation is required. This comes from a minimum of three years of working experience in the area.
- Areas of specialty are highly technical and typically required specialized training.
- University degree (preferably in finance, business, or law); or equivalent
- Experience working with independent distribution channels and related regulations an asset
- Minimum of 5 years of progressive compliance experience within the financial services industry

**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 l

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