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Senior Compliance Officer

1 month ago

Toronto, Ontario, Canada Iaawg Full time

Job Title: Senior Compliance Officer (Insurance)

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This role is responsible for the development of a compliance program and supervision controls related to insurance distribution. The Senior Compliance Officer will ensure that iAWIS has rigorous compliance standards and controls across all its insurance activities.

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The position requires agile thinking to meet business and operational challenges while maintaining alignment with the organization's policy objectives.

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Main Responsibilities:

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  • Develop and implement a supervisory framework for insurance distribution offered through iAWIS">
  • Create and publish policies and procedures within the compliance department">
  • Provide training to various departments involved in insurance distribution">
  • Communicate regularly with advisors offering insurance services to ensure adherence to high standards">
  • Audit and create reports on advisors' practices">
  • Collaborate with AGA, PPI, to develop a strong supervisory framework based on industry best practices">
  • Support PPI in managing client complaints and handle complaints as required">
  • Set priorities and objectives for the department to ensure high-quality service delivery">
  • Evaluate and adapt strategies to reflect changing regulatory landscapes and business needs">
  • Proactively identify regulatory changes and train departments accordingly">
  • Engage with internal departments to guide and influence compliance-related decisions">
  • Making informed recommendations based on an understanding of the wider business plan">
  • Act as a subject matter expert and provide direction">
  • Identify and assess potential risks in activities and implement mitigation strategies">
  • Regularly report to senior management on risk assessments and compliance status">
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Requirements:

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  • At least 8 years of relevant experience in the financial sector, preferably in insurance distribution">
  • Strong knowledge of the regulatory landscape for financial product and service distribution in Canada">
  • Analytical, problem-solving, and communication skills">
  • Strong organizational skills">
  • Judgment and critical thinking skills">
  • Certificate in insurance for individuals (an asset)">
  • Proficient in MS Office (Outlook, Word, Access, Excel, PowerPoint)">
  • Advanced knowledge of English and French to communicate daily with external stakeholders and advisors">
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Education:

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  • University Degree or College Diploma in Law, Administration, Finance, or similar disciplines">
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About Us:

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iA Financial Group is a company with a human side, employing over 8,000 people. We have earned the trust of our more than four million clients and 25,000 advisors who choose us for their insurance, savings, and wealth management needs.

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We are committed to supporting and celebrating diversity and strive to provide an inclusive workplace for all.