Compliance & Market Conduct Specialist

2 weeks ago

Vancouver, Canada LGM Financial Services Inc. Full time

LGM is a national leader in providing warranty, finance, and insurance services to the Canadian automotive industry. Since 1998, LGM has been successfully supplying quality products and leading training solutions to Canadian car dealerships. Dealer partnerships are complemented with the strong backing and support of their automotive manufacturing brands, which include BMW/MINI, Kia, Mazda, Volvo, Jaguar/Land Rover, Mitsubishi Motors, Polestar and Motorrad.

Reporting to Senior Legal Counsel, The Compliance & Market Conduct Specialist works with the Senior Legal Counsel and Executive Vice President, Legal to proactively assess and respond to regulatory compliance needs and, as required, market conduct investigations for the organization.

**Key Responsibilities**

Works with the Senior Legal Counsel and Executive Vice President, Legal in providing the following services:

- Ensure compliance with the external regulatory and legal requirements that are required of the organization as a whole.
- Ensure compliance with internal systems of control, including standard operating procedures and corporate policies, that are imposed by the organization to achieve compliance with the externally imposed rules.
- Develop, evaluate, revise and operationalize standard operating procedures for the organization’s compliance program.
- Review, investigate and respond to contentious consumer complaints escalated by insurers or regulators.
- Develop, evaluate, revise and operationalize remedial action plans in response to consumer complaints, regulatory complaints and otherwise for the organization’s compliance program.
- Review, investigate and respond to contentious consumer claims escalated by the claims team.
- Manage relationship with insurer compliance teams.
- Manage relationship with regulatory bodies, including Provincial Insurance Councils.
- Provide oversight for licenses required by the organization, its staff and its distributors.
- Provide timely, trusted and practical responses to enhance business operations.

**Required Skills**:

- Able to critically evaluate facts and conflicting information, identify risks and propose mitigation strategies.
- Ability to effectively prioritize competing tasks in line with the organization’s strategic business objectives and to adjust priorities according to changing business needs.
- Well-developed critical thinking, analysis and problem-solving skills.
- Strong moral compass and ability to articulate matters of importance with diplomacy.
- Ability to self-direct work and work effectively in a group.

**Education**
- Required qualifications - Completion of the Life Licence Qualification Program (LLQP) and passing the LLQP exam, Life Insurance License held in one or more Canadian jurisdictions.
- Desirable qualifications - AMF Certificate with a right to practice in group insurance of persons.
- Bachelor of Laws (LLB) from a Canadian University or other common law jurisdiction.
- Alternatively, the Chartered Insurance Professional (CIP®) designation for insurance.
- Alternatively, Bachelor's degree in finance, business administration, or economics.
- Language - Ability to conduct formal discussions in English. French fluency highly valued.

**Experience**
- At least three (3) years of compliance and/or market conduct experience in a corporate capacity.
- Proven ability to handle time sensitive regulatory risks with responsiveness and discretion.
- Knowledge of insurance regulatory regimes across Canada, including insurance licensing.
- Specific knowledge of Quebec regulatory regime, including distribution without a representative.
- Experience in insurance, extended warranty and/or automotive industry preferred.

**The Perks**:

- We offer a highly competitive compensation package including comprehensive health benefits plan, Group RRSP, performance bonus, health and wellness benefit, education sponsorship, and four paid days when “giving back” to the community. We also offer your birthday off and a vehicle rebate program.
- We have a hybrid working environment with flexibility to work from home or in the office (Teams days and company days in office).

Come join us

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