Compliance Specialist, Canadian Market Conduct

7 days ago

Toronto, Ontario, Canada Foresters Financial Full time
Job Summary

We are seeking a highly skilled Compliance Analyst to join our team at Foresters Financial. As a Compliance Analyst, you will play a critical role in ensuring that our business operations comply with regulatory requirements and industry standards.

Key Responsibilities
  • Market Conduct and Sales Reviews
    • Collect and review documentation related to market conduct and sales practices.
    • Negotiate with entities to obtain missing documentation, as required.
    • Track workflow and progress, ensuring timely completion of tasks.
    • Review documentation against regulatory and industry requirements, identifying areas for improvement.
    • Write review observations and findings, providing recommendations for corrective action.
    • Correspond with reviewed entities, escalating issues as necessary.
  • Functional Support to the Manager and Compliance Team
    • Assist the Manager with training, record keeping, research, and other tasks as required.
    • Provide support to team members, identifying areas for improvement and attention.
    • Represent Compliance at internal functions, committees, and projects, promoting a culture of compliance.
    • Represent Foresters Financial on external Compliance committees, fostering relationships with industry stakeholders.
  • Requirements
    • Minimum 2-3 years of progressive experience in Sales, Customer Service, New Business, or 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 in 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 and in a team, managing multiple priorities and timelines.
    • Heightened sense of curiosity, urgency, and courage.
    • Practices sound judgment, 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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