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Compliance Operations Coordinator
2 months ago
Greenstone Financial Services Canada is seeking a highly organized and detail-oriented Compliance Administrative Assistant to support the Compliance Manager in setting up a new operation in Canada. As a key member of the team, you will provide dedicated administrative support and contribute to the success of our business.
Key Responsibilities- Insurance Agent Licensing
- Under the guidance of the Compliance Co-ordinator, complete and submit initial individual applications for advisor's licenses in all applicable provinces and territories, as well as annual renewals.
- Complete and submit applications for advisor E&O insurance – initial and annual renewal.
- Provide accurate, organized, and efficient administrative work in maintaining a register of Insurance Advisor Licensing approvals, including onboarding and offboarding of advisors.
- Engage with sponsoring insurers regarding advisor licensing.
- Provide the Director and Co-ordinator with regular updates on progress, new approvals, and licensing cancellations.
- Exercise discretion in handling correspondence, information, and all matters of confidentiality; raise issues where appropriate.
- General Administration Functions
- Provide dedicated administrative support to the Director, ensuring quality service and professionalism.
- Under the guidance of the Compliance Co-ordinator and working with Learning & Development, ensure that advisors meet their Continuing Education requirements.
- Manage given tasks and assignments efficiently and ensure deadlines are met.
- Keep the Director and Coordinator informed and up-to-date about the status/progress of projects, and all relevant or useful information related to day-to-day activities.
- Essential
- High school diploma.
- Knowledge of MS Office Suite and Internet applications.
- Ability to work independently, and as part of a team.
- A dynamic professional with a willingness to learn and take initiative on upcoming assignments and projects.
- Be an effective teammate and flexible in adjusting to changing work priorities.
- Desirable
- Previous experience working in compliance in the financial services industry will be a bonus.
- 4 weeks' vacation leave per year.
- 10 Sick days.
- Hybrid role (3 days in office, 2 days working-from-home).
- 100% employer-paid health benefits.
- $500 Health spending account.
- Parental leave top-up.
- 5% RRSP matching.
- Growth opportunities.
- Free weekly lunches and more.