Financial Conduct Specialist for Canadian Market
6 days ago
Job Description
We are seeking a highly skilled Compliance Analyst to join our team at Foresters Financial. In this role, you will be responsible for Market Conduct and Sales Reviews, including collecting documentation, following up on missing documentation, tracking workflow and progress, and reviewing documentation to assess sales practices against regulatory requirements.
You will also provide functional support to the Manager and Compliance team, including assisting with training, record keeping, and research, as well as identifying areas for improvement and attention. A minimum of 2-3 years of progressive experience in Sales, Customer Service, New Business or other relevant experience in the life insurance industry is required.
Key Responsibilities
- Market Conduct and Sales Reviews: Collecting documentation, following up on missing documentation, tracking workflow and progress, and reviewing documentation to assess sales practices against regulatory requirements.
- Functional Support: Assisting the Manager with training, record keeping, and research, as well as identifying areas for improvement and attention.
- Compliance: Ensuring compliance with regulatory requirements and industry standards.
Requirements
- 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.
Preferred Qualifications
- Knowledge of the business operations of Canada Protection Plan/Foresters Financial.
We offer a 12-month contract role with a competitive compensation package. If you are a motivated and detail-oriented individual with a passion for compliance, please submit your application.
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