Manager Market Conduct Investigations

Permanent Full Time

**What you will do**:

- Lead a team to execute a strategic vision, providing direction and mentorship to ensure alignment with organizational goals.
- Work with the rest of Market Conduct Investigations to build a high-performing team, committed to excellence and innovation. This includes challenging current processes and elevating team performance through continuous improvement.
- Effectively collaborate with various business units and supervise investigations relating to allegations of financial advisor misconduct and/or negligence, ensuring thorough and efficient processes. Analyze information and make good decisions in potential ambiguous or difficult situations.
- Provide effective leadership while monitoring case handling times to ensure prompt resolution within applicable service standards.
- Identify and support implementing policies and procedures for investigating allegations of advisor misconduct and/or negligence across both insurance and mutual fund products, promoting best practices and compliance.
- Ensure overall quality by reviewing and editing work by direct reports as required to ensure it accurately reflects our company’s position. Train team members on processes, legal requirements and/or products where required.
- Support the execution of the advisor suitability policy, ensuring adherence to regulatory standards and organizational objectives.
- Support the ongoing reporting of outcomes from customer complaints and investigations to senior management, including the Chief Compliance Officer and other key internal and external stakeholders (i.e., Regulators, professional liability insurers, etc.).
- Engage in the proactive monitoring and data analytics functions to identify and address potential issues, promoting continuous improvement and operational efficiency.
- Help facilitate effective communication and resolution of inquiries with financial advisors E&O carriers.
- Liaison with regulators on matters related to advisor inquiries, ensuring compliance and fostering positive relationships.

**What you will bring**:

- Strong organizational and analytical skills with the ability to handle conflicting priorities and fluctuating workloads.
- Effective leadership skills and documented leadership experience (either direct or indirect leadership) while fostering a collaborative and supportive work environment.
- Demonstrated knowledge and experience resolving customer complaints and/or conflicts using solution-oriented business and compliance judgement.
- Ability to work effectively in a fast-paced, deadline driven team setting, always ready to tackle new challenges.
- Excellent verbal and written communication skills with comfort presenting to senior leaders.
- Strong understanding of the regulations and policies governing the insurance, mutual fund, and securities industries.
- Skilled at establishing strong relationships with internal business partners and effective at working cross-functionally to solve business problems.
- Ability to speak and write French would be an asset.
- Experience using data analytics to drive informed decision-making would be an asset.
- Post-secondary degree, with experience in and knowledge of the legal, compliance, and/or financial industry.
- Over 5+ years of related experience, bringing a wealth of knowledge and expertise to the role.

The base salary for this position is between **$76,400****:

- $141,400** 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.

Be your best at Canada Life

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, accessibl