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Compliance Specialist, Canadian Market Conduct

2 months ago

Toronto, Ontario, Canada Foresters Financial Full time
Job Overview

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.

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