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Chief Compliance Officer
2 months ago
Aegon is seeking a highly experienced Chief Compliance Officer to lead its compliance program for the Canadian business. The successful candidate will be responsible for managing the compliance program, partnering with the compliance team and other leaders, and implementing reasonably designed compliance policies and procedures to ensure compliance with all applicable insurance laws and regulations.
Key Responsibilities- Compliance Program Management: Establish, maintain, and update compliance policies and procedures covering the activities, supervision, and oversight of Aegon's branch offices and its agents.
- Compliance Risk Management: Conduct monitoring of compliance risks, promptly reporting deficiencies presenting a significant risk to Aegon.
- Regulatory Advice and Guidance: Provide advice and guidance to senior leadership on compliance, regulatory risks, conflicts of interest, and reputational risk.
- Reporting and Escalation: Provide quarterly reporting to the Head of WFG Compliance and escalate significant issues to the Head of WFG Compliance as well as senior management in a timely manner.
- Regulatory Developments and Trends: Track and respond to regulatory developments and industry trends to ensure the program remains current and effective.
- Policies and Procedures: Create and modify policies and procedures as needed, keeping up to date with technology enhancements and surveillance techniques.
- Control Deficiencies and Remediation: Oversee the assessment of control deficiencies and remediation plans and ensure appropriate resources are available to handle regulatory examinations.
- Board Reporting: Prepare and deliver a report to the board of directors of Aegon on the state of the compliance program.
- Team Leadership: Manage a team of compliance professionals and provide leadership and direction to the team toward operational excellence and accountability.
- Education: Bachelor's degree in a business field.
- Experience: Ten years of experience in insurance compliance, including senior level management responsibilities.
- Regulatory Knowledge: Comprehensive understanding of Canadian insurance regulatory requirements and experience dealing with regulators (AMF, FSRA, etc.).
- Communication and Relationship Building: Outstanding written and oral communication and relationship building skills to work with regulators, the business, and field leaders.
- Licenses: Life, Accident and Sickness/Personal Insurance Licenses in all Provinces.
- Office or Hybrid Environment: Office or hybrid office/remote environment.
- Travel: Moderate travel.
