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Compliance Operations Coordinator

2 months ago


Richmond Hill, Ontario, Canada Greenstone Financial Services Canada Full time
About the Role

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.
Requirements
  • 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.
What We Offer
  • 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.