Compliance Officer, Financial Planning

4 days ago

Toronto, Canada CWB Financial Group Full time

At

CWB

, we strive to build value for the people who choose us every day: our people, our clients and our investors. We do this by holding true to the values that guide us. We put people first and build relationships with intention. We seek out and embrace new ideas, knowing that better is always possible. We believe that how we do things is as important as what we do. And we harness the power of inclusion. Our culture is who we are and how we show up - as individuals and as a team - to accomplish our strategy.
- La version française suit._

Location: Toronto, Edmonton, Calgary

Role Specifications

Everyday Flexibility Flexible Work Arrangements Hybrid Work Environments

Canadian Western Bank (CWB) is the only
_full-service bank_ in Canada with a strategic focus to meet the unique financial needs of businesses and their owners. Our teams take a
_ relationship-based_ approach to deliver a uniquely
_proactive client experience_ through highly
_personalized service, specialized expertise, customized solutions, and faster response times. _We provide full-service business and personal banking, nation-wide specialized financing in targeted industries, comprehensive wealth management offerings, and trust services.
_And we do it together - united, as one CWB. _We are firmly committed to the responsible creation of value for all our stakeholders and our approach to sustainability will support our continued success.

Our highly engaged teams operate within a
_client-centric, collaborative and change-ready culture, _with a core focus to achieve our vision to become the best full-service bank for business owners in Canada as we continue to transform our capabilities.
_And we are building momentum_.

Bring you. All of you. Caregiver. Ally. Outdoor enthusiast. Indigenous community partner. Foodie. Neurodivergent perspective. Sports fan. Human rights activist. Labels don’t matter here, but your perspective does.

The Opportunity

The Compliance Officer - Financial Planning & Insurance role is part of our CWB Wealth Management (CWB WM) team, which provides discretionary portfolio management as well as a range of financial planning, products, and services.

The Compliance Officer is responsible for the supervision of Financial Planning and Insurance Business lines activity, including responsibility for client documentation development and control. In addition, this role provides oversight of the Financial Planning, Tax Services, and Insurance service business lines, ensuring Professional Standards and regulations are being observed.

Key Deliverables- Monitors risks specific to Financial Planning & Tax Services and Insurance, including designing program to test and monitor:
- Client engagements (i.e. financial planning content and materials to use across various mediums - social media, print, website, seminars/webinars, etc.);-
- Client recommendations.-
- Maintains expert knowledge of the industry including regulatory developments to ensure CWB Wealth Management understands the changing landscape and meets ongoing requirements, both in financial planning and tax services.- Works closely with Operations, establishing policy and procedures while adhering to regulatory requirements of the various provincial governing bodies, and creating consistent client experiences and mitigating risk to the organization.- Responsible for registration and regulatory filings related to Financial Planning.- Maintains a strong relationship with the Managing General Agent (MGA) to ensure effective reporting and monitoring practices.- Manages relationships with external regulatory bodies, OSFI and Provincial Regulators.

Successful Incumbent

Collaborative. Demonstrated ability to build and maintain effective relationships to accomplish both individual and team goals aligned with the strategic direction of CWB.

Relationship builder. Demonstrated ability to build and maintain relationships with management, employees, and external partners to enhance professionalism and productivity.

Winning aspiration. Ability to be success in a dynamic environment arising from diverse responsibilities, complex processes, multiple stakeholders, and shifting deadlines by utilizing effective prioritization, planning, escalation, and teamwork.

Analytical: Optimize both data & relationships while practicing proactive risk management in a highly focused environment - a win/win determination.

Compliance focused. You are risk aware and knowledgeable of regulatory policies and procedures in relations to financial planning, tax services and insurance.

Optimizer. Demonstrated ability to drive efficiencies and continuous improvement in processes aligned with corporate culture and regulations.

Lifelong Learner. The ongoing, voluntary, and self-motivated
_ pursuit of knowledge._

A true
_ #tealmate_
- ._ Live & champion CWB values. Represent the CWB Brand with honor and integrity, embodying our culture in a way that prioritizes collaboration and respects

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