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Financial Compliance Specialist
2 months ago
We are seeking an experienced Financial Compliance Specialist to join our team at Securian Canada. As a key member of our Regulatory Compliance Department, you will play a crucial role in ensuring that our company maintains high ethical market conduct standards.
Job DescriptionThe ideal candidate will have experience in legislative and corporate compliance management, as well as strong analytical and problem-solving skills. You will be responsible for providing detailed and accurate reporting and proposed remediation action plans, conducting desk and on-site reviews of contracted agencies and their advisors, and educating and informing business units about compliance requirements.
You will also be responsible for updating and maintaining compliance policies and procedures, preparing formal and informal compliance reports, managing the development and delivery of compliance training programs, and organizing and managing documentation for regulatory, internal audit, and other reviews and examinations.
Key Responsibilities- Conduct research and analysis of applicable legislative and regulatory actions concerning insurance products, ancillary products, field operations, and home office administration;
- Update and maintain compliance policies and procedures and other related documentation;
- Educate and inform business units about compliance requirements, including legislative and business practices;
- Prepare formal and informal compliance reports and other communications to business units on a regular and ad hoc basis;
- Manage the development and delivery of compliance training programs;
- Organize and manage documentation for regulatory, internal audit, and other reviews and examinations;
- Manage Regulatory Compliance Department's files and records and perform other administrative duties;
- Track project plans for implementation of legislative requirements and regulatory changes and work with various departments to ensure that implementation plans are being met;
- Conduct quarterly regulatory compliance self-assessments for the Regulatory Compliance Department;
- Assist business units in the development and implementation of technological tools to improve current processes;
- Ensure communications and bulletins issued by the Regulatory Compliance Department reach the intended audience in a timely manner;
- Act as an administrator for the annual regulatory compliance management attestation process for all applicable entities, including coordination with management and the service provider, track completion, work with business units to resolve any gaps that have been identified and document them accordingly;
- Review, assign control objectives, and flag for internal distribution quarterly legislative and regulatory updates for all applicable entities and ensure that applicable quarterly legislative and regulatory updates have been incorporated into regulatory compliance management programs for quality control and monitoring and testing purposes.
- Post-secondary education or equivalent of knowledge and skills acquired through related work experience;
- Experience in legislative and corporate compliance management and/or in the financial services industry;
- Excellent written and verbal communication skills;
- Ability to prioritize and strong attention to details;
- Ability to work under pressure;
- Ability to work well both independently and in a team environment;
- Bilingualism would be considered an asset;
- MS Office (Word, Excel, PowerPoint, Access) and the ability to quickly learn new technology.
We are a leading insurance provider in the Canadian Financial Institution and Association & Affinity markets. Our practical, life-ready insurance and protection solutions are designed to help provide financial security, so that Canadians can spend more time making every moment count.
As a company, we value diversity, equity, and inclusion, and we strive to create a workplace culture that is inclusive, supportive, and empowering for all employees. We offer a competitive total rewards program, which includes flexible work arrangements, generous paid vacation time, paid volunteer day, paid personal and wellness days, educational assistance, flexible health and wellness account, RRSP matching program, family-friendly maternity/parental leave, and many other benefits and perks.
We estimate the salary for this position to be around $90,000 - $120,000 per year, based on industry standards and location.
