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Compliance Consultant

3 months ago

Toronto, Ontario, Canada IA Financial Group Full time

Compliance Consultant

The Compliance Consultant plays a crucial role in monitoring the activities and practices of insurance representatives dealing with life insurance and segregated funds. This position ensures adherence to the regulatory standards governing the insurance sector and the internal policies of IA Financial Group, while maintaining a comprehensive understanding of the operational requirements.

Key Responsibilities

  • Assist in the formulation, upkeep, promotion, and assessment of policies and procedures that align with the ethical and regulatory compliance standards of the insurance industry and relevant authorities.
  • Ensure that contract representatives are informed about legislative and regulatory mandates, policies, and procedures; facilitate their participation in required training sessions, completion of compliance assessments, and successful passage of knowledge evaluations.
  • Identify potential compliance risks related to current regulations and contribute to the establishment of review processes to mitigate these risks.
  • Address client grievances and meticulously document the complaint resolution process, including determining internal repercussions and implementing necessary corrective measures to rectify compliance violations and prevent future occurrences, such as revising policies and enhancing training programs.
  • Provide guidance to various departments upon request or as necessary.
  • Engage in projects related to risk management, compliance, anti-money laundering, and privacy protection standards as required.
  • Collaborate in the preparation and execution of compliance review surveys for various insurers.
  • Support representatives during the evaluation of their practices conducted by insurers and regulatory authorities.
  • Act as a bridge between Agency Services and the sales team to ensure appropriate selection of representatives and ongoing monitoring to confirm their suitability post-contracting.

Professional Knowledge and Experience

  • Fluent in both French and English (oral and written) due to regular interactions with colleagues, internal partners, and clients across Canada.
  • 7-10 years of experience in the financial services industry is highly desirable.
  • A minimum of 2 years in a compliance-oriented role.
  • Thorough understanding of provincial regulations governing insurance.
  • Good grasp of applicable federal laws, including PIPEDA and the Proceeds of Crime (Money Laundering) and Terrorist Financing Act.
  • Strong regulatory and legal research capabilities.
  • Exceptional oral and written communication skills.
  • Outstanding negotiation and mediation abilities, with a knack for influencing others.
  • Proven track record of effective collaboration and building productive working relationships.

Education and Certifications

  • A university degree in law, accounting, or a related discipline is preferred.

We appreciate the interest of all applicants; however, only those selected for an interview will be contacted. Your resume may be considered for other available positions.