Associate Manager, Advisor and Quadrus Compliance

2 weeks ago

London, Canada The Canada Life Assurance Company Full time $65,400 - $114,500

Permanent Full Time


As the Associate Manager, Advisor and Quadrus Compliance, you will help to ensure regulatory compliance for Quadrus mutual fund dealer, Advisor practices and distribution channels within Canada Life. This includes interpreting legislation and regulation, developing and refining processes to improve compliance and reduce risk and maintaining dealer policies and procedures manual.


Reporting into the Director, Advisor and Quadrus Compliance you will be responsible for;


  • Providing expertise and advice on regulatory compliance obligations to business partners and advisors
  • Updating policies and procedures to met new and revised CIRO rules
  • Identify risks and develop risk mitigation strategies to improve compliance
  • Ensuring privacy obligations are met by Quadrus including consent, retention and breach response procedures etc.
  • Monitoring, interpreting and maintaining awareness of various new and existing regulatory and compliance requirements including topics such as conflicts of interest, AML, AODA, licensing, CCIR, vulnerable clients, etc.
  • Demonstrating a high level of technical and business acumen to ensure compliance risk is managed appropriately
  • Participation in business led initiatives and developing solutions to ensure compliance


What you will do

  • Develop and maintain deep knowledge of various legislative obligations at both the provincial and federal level as well as regulations of self-regulatory organizations (CIRO) and industry groups.
  • Use knowledge to ensure processes meet strict regulatory requirements related to securities and other regulatory requirements.
  • Supporting advisors in privacy breach response processes
  • Design effective solutions for Advisors, Quadrus and Canada Life to meet new and amended regulatory and legislative obligations.
  • Communicate regulatory and legislative changes to advisors and provide processes, tools and resources to help meet obligations.
  • Ensure mutual fund applications, forms, processes are up to date and filed with appropriate regulators.
  • Preparation for and handling of audit examinations conducted by Internal audit and CIRO
  • Liaise and consult with legal, corporate compliance functions, market conduct to ensure accuracy of solutions designed.


What you will bring

  • 5 years of progressive compliance experience within mutual fund or securities industry
  • Deep knowledge of mutual fund regulation
  • Familiarity of Insurance legislation
  • Experience reviewing and tri-aging new legislation / regulation
  • Ability to apply analytical skills to resolve a variety of complex situations.
  • Ability to build relationships and influence change effectively with a broad range of individuals and groups.
  • Very good organizational skills with strong attention to detail, ability to prioritize, multi-task and meet deadlines.
  • Excellent verbal and written communication skills.


Given the size and scope of our organization, we have the flexibility for this position to be located in the following head office locations: London, Toronto and Winnipeg.

The base salary for this position is between $65,400 - $114,500 annually. This represents base salary only and does not represent other variable compensation components of our total compensation ( i.e. annual bonus, commission etc). If you are selected to move forward in our recruitment process, your recruiter will be able to discuss additional details of our total rewards program with you.


Career opportunities will be open a minimum of 5 business days from the date of posting, closing dates will vary depending on the search activity. All applications received will be reviewed on a rolling basis.


Be your best at Canada Life- Apply today


Being a part of Canada Life means you have a voice. This is a place where your unique background, perspectives and talents are valued, and shape our future success.


You can be your best here. You’re part of a diverse and inclusive workplace where your career and well-being are championed. You’ll have the opportunity to excel in your way, finding new and better ways to deliver exceptional customer and advisor experiences.


Together, as part of a great team, you’ll deliver on our shared purpose to improve the well-being of Canadians. It’s our driving force. Become part of a strong and successful company that’s trusted by millions of Canadians to do the right thing.


Canada Life serves the financial security needs of more than 13 million people across Canada, with additional operations in Europe and the United States. As members of the Power Financial Corporation group of companies, we’re one of Canada’s leading insurers with interests in life insurance, health insurance, investment and retirement savings. We offer a broad portfolio of financial and benefit plan solutions for individuals, families, businesses and organizations.


We are committed to providing an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of the communities in which we live, and to creating an environment where every employee has the opportunity to reach their potential.


It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will work with applicants who request a reasonable accommodation during the application process. All information shared during the accommodation request process will be stored and used in a manner that is consistent with applicable laws and Canada Life policies. To request a reasonable accommodation in the application process, contact talentacquisitioncanada@canadalife.com.


Canada Life would like to thank all applicants, however only those who qualify for an interview will be contacted.


#LI-Hybrid

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