Compliance Specialist, Canadian Market Conduct
2 weeks ago
We are seeking a highly skilled Compliance Analyst to join our team at Foresters Financial. As a key member of our Compliance team, you will play a critical role in ensuring that our business operations align with regulatory requirements and industry standards.
Key Responsibilities- Market Conduct and Sales Reviews
- Collect and review documentation from LIA's, advisors, and MGA's to ensure compliance with regulatory requirements.
- Negotiate with reviewed entities to obtain missing documentation, as needed.
- Track workflow and progress to ensure timely completion of reviews.
- Assess sales practices and other information against regulatory and Foresters/Canada Protection Plan requirements and expectations.
- Write review observations and findings, and correspond with reviewed entities.
- Escalate issues to Complaints, SIU, Management, as required.
- Functional Support to the Manager and Compliance Team
- Assist the Manager with training, record keeping, research, and other tasks as needed.
- Provide support to team members, including identifying areas for improvement and attention.
- Represent Compliance at internal functions, committees, and projects.
- Represent Foresters/CPP on external Compliance committees.
- Requirements
- A minimum of 2-3 years of progressive experience in Sales, Customer Service, New Business, or other relevant experience in the life insurance industry.
- College/University education or equivalent experience.
- Knowledge of key regulators and regulatory requirements applicable to Life Insurance Market Conduct.
- Familiarity with, and commitment to, the principles of Fair Treatment of Customers.
- Proficient at Microsoft applications and CPP/Foresters in-house applications.
- Highly developed written and oral communication skills, including the ability to build relationships, engage, and influence others.
- Ability to work independently as well as in a team and manage multiple priorities and timelines.
- Heightened sense of curiosity, urgency, and courage.
- Practices sound judgement; a high level of integrity and trust.
- Knowledge of the business operations of Canada Protection Plan/Foresters Financial is preferred.
This is a 12-month contract role.
#LI-Hybrid
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Toronto, Ontario, Canada Foresters Financial Full timeJob SummaryWe are seeking a highly skilled Compliance Analyst to join our team at Foresters Financial. As a Compliance Analyst, you will play a critical role in ensuring that our business operations comply with regulatory requirements and industry standards.Key ResponsibilitiesMarket Conduct and Sales ReviewsCollect and review documentation related to market...
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Toronto, Ontario, Canada Foresters Financial Full timeJob SummaryWe are seeking a highly skilled Compliance Analyst to join our team at Foresters Financial. As a Compliance Analyst, you will play a critical role in ensuring that our business operations comply with regulatory requirements and industry standards.Key ResponsibilitiesMarket Conduct and Sales ReviewsCollect and review documentation related to market...
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