Compliance Specialist, Distribution

1 month ago

Toronto, Canada IVARI Full time

**Welcome to**_ _**ivari**

Let us introduce ourselves. With 300 employees across Canada, ivari is a company that’s making a difference in the world of life insurance. How? By finding and hiring employees who are passionate about helping people protect their families, and by giving them the best, most supportive workplace possible.

At ivari, everyone is welcome It is our mission to attract, develop, and retain a workforce that is as diverse as the customers we serve and the communities in which we do business. We offer an inclusive and accessible work environment where all employees and customers feel valued, respected, and supported.

**Here’s the job opportunity**

Under the direction of the Manager Compliance, Distribution, as the Compliance Specialist - Distribution you will be responsible for supporting the Distribution Compliance program through:

- managing the Advisor Practice Review (APR) process,
- managing the Managing General Agent (MGA) Survey process,
- managing Supervision Agreements and Limited Reviews, and

You will oversee these processes by:

- Partnering with advisors and MGAs to ensure that they have responded to the appropriate questionnaires and surveys and that they have submitted the requested materials
- Reviewing the submissions, recommendation actions, and communicating them back to the advisors and MGAs
- Tracking the recommended actions are completed within the scheduled deadline
- Identifying and creating plans for program improvements

In this role you will also support the Chief Compliance Officer and Manager, Compliance for other compliance initiatives including the administration of escalated market conduct matters and investigations. This will include:

- Monitoring the Regulator Enforcements
- Performing Large Case Reviews
- Gathering documents for Regulator’s requests
- Gathering documents for investigations
- Prepare Compliance, Terminations & Reporting Letters, and LARFs
- Input data and information into the different Compliance systems

**What we are looking for**
- 3 - 5 years of financial services experience gained at a bank, insurance company, or securities firm
- 1 to 3 years of Compliance or Legal experience
- Technical knowledge and skills with information and data management related tools
- Experience in testing, auditing and investigative roles an asset
- Financial services industry association memberships/LOMA credits an asset
- Relevant post-secondary education

**What's in it for you**

At ivari, it's important for us to keep our people motivated, recognized and rewarded. We offer competitive base salaries plus a bonus, one of the many reasons ivari is a great place to work.

We also offer health and dental benefits for the entire family from Day 1 But that’s just the beginning. When you join the ivari team you also get
- A fantastic vacation plan and time off
- A pension plan with 100% match by ivari
- Employee savings plan with 75% match to help you save even more
- Flexible and hybrid work arrangements
- Opportunities for professional development
- Recognition programs to cheer you on, motivate and reward
- Wellness programs to keep you healthy and happy

**Who you are**

Someone who enjoys a culture where everyone is genuinely respectful and you can be your authentic self every day. Your contributions and opinions are not only sought, but valued. You know the importance of, and live by, our core values of
- Bringing clarity and focus to your work
- Taking ownership and doing what you say you will
- Remaining flexible
- Collaborating with others

Does this sound like you? We’re looking for great people to join our team

Our commitment to inclusivity is reflected in the safeguards, policies and commitments we have in place to remove barriers and provide equal opportunities to prospective and current employees, without discrimination.

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