Compliance and Regulatory Advisor

5 days ago

Vancouver, British Columbia, Canada LGM Financial Services Inc. Full time
About the Role

LGM Financial Services Inc. is a leading provider of warranty, finance, and insurance services to the Canadian automotive industry. As a Compliance and Regulatory Advisor, you will play a critical role in ensuring the company's compliance with industry regulations and laws.

Key Responsibilities
  • Monitor and maintain licenses for distribution partners and internal staff, ensuring compliance with regulatory requirements.
  • Collaborate with the development team to enhance controls and improve data integrity and accuracy.
  • Facilitate the implementation of corporate, industry, provincial, and federal policies and regulations.
  • Liaise with provincial regulators to ensure compliance with regulatory requirements.
  • Identify and recommend process improvements to enhance compliance activities.
  • Promote fair treatment of customers throughout the line of business.
  • Support the completion and submission of forms related to LGM's business and insurance licenses.
  • Conduct objective compliance investigations as directed by the Director, Compliance and Market Conduct.
Dealer Quality Assurance Reviews
  • Verify and supervise the offering of insurance products by LGM distributors in the province of Quebec, under the supervision of the Director, Compliance and Market Conduct.
  • Conduct supervisory audits to assess product knowledge, compliance with laws and regulations, and fair treatment of customers, using predefined checklists and template forms.
Administrative Support for Legal Matters
  • Draft legal correspondence and perform general administrative tasks as directed.
  • Draft revisions to legal agreements as directed and supervised by the VP, Legal and Associate General Counsel.
Requirements
  • Minimum 4 years of experience in Compliance-related activities.
  • Fluently bilingual in English and French, with the ability to translate.
  • General and/or life insurance license – an asset.
  • Knowledge and understanding of the automotive dealership finance and sales office – an asset.
  • Relationship with provincial regulators – an asset.
Desirable Skills
  • In-depth knowledge of the dealership insurance sales process.
  • Good knowledge of the market and of the FSM role.
  • Knowledge of products distributed by LGM financial services – an asset.
What We Offer
  • A highly competitive compensation package, including comprehensive health benefits, Group RRSP, performance bonus, health and wellness benefit, education sponsorship, and four paid days for community service.
  • A hybrid work arrangement, with one day per week required in the office.

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