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Compliance Specialist

2 weeks ago

Toronto, Canada IVARI Full time

**Welcome to**_ _**ivari**

Let us introduce ourselves. With 300 employees across Canada, ivari is a company that’s making a difference in the world of life insurance. How? By finding and hiring employees who are passionate about helping people protect their families, and by giving them the best, most supportive workplace possible.

At ivari, everyone is welcome It is our mission to attract, develop, and retain a workforce that is as diverse as the customers we serve and the communities in which we do business. We offer an inclusive and accessible work environment where all employees and customers feel valued, respected, and supported.

**Here’s the job opportunity**

As a **Compliance Specialist - Testing**, you will be responsible for planning, executing and reporting compliance testing engagements, including Advisor Practice Review (APR), limited file reviews, and Managing General Agent (MGA) testing and survey. You will act as a member of the ivari Distribution Compliance team and will execute testing engagements and deliver quality work in accordance with regulatory requirements and ivari market conduct policy.

As a Compliance Specialist - Testing, you will
- Create and manage the annual plan for the execution of the managing general agent (MGA) compliance survey, testing and reviews
- Analyze and review information according to standard MGA survey criteria, identify gaps, verify content for quality and compliance; draft observations and provide a summary of findings and recommendations; track remediation actions
- Maintain a reasonable understanding of compliance risks and processes
- Understand regulatory requirements and ivari policies to ensure testing is designed to identify potential control gaps and non-compliance
- Conduct testing, scoping, sampling, test procedures, and interviews
- Prepare and distribute results detailing findings and recommendations
- Track and report the status of remediation and validation of open issues
- Review information and gather materials in compliance with CLHIA Guidance
- Create and manage the annual plan for the execution of the Advisor Practice Reviews
- Correspond with advisors, managing general agents and sales
- Review questionnaires, licensing requirements, E&O, CE credits, required AML and Privacy P&Ps
- Examine documents to verify content, compliance, and identify anomalies
- Create and manage the annual plan for the execution of the limited file review process; analyze and review information, identify gaps, verify content for quality and compliance; draft observations and provide a summary of findings and recommendations; track remediation actions
- Provide administrative support for market conduct escalations and investigations, risk systems, and compliance reports
- Assist the Compliance team with other tasks as may be required during the year

**What we are looking for**
- Post-secondary secondary education that would align with the position
- Minimum 7 years experience in compliance testing or internal audit within a financial services organization
- Technical knowledge and skills of audit processes and methodologies
- Effective time management skills with the ability to manage multiple deadlines and changing priorities
- A self-starter who takes initiative, is detail oriented, and deals well with ambiguity
- Excellent verbal and written communication skills (bilingualism in English/French is an asset)
- An ability to work independently and proactively
- Accounting designations / technical / professional qualifications (CPA, CIA, CFA, CIM etc.) is an asset

**What's in it for you**

At ivari, it's important for us to keep our people motivated, recognized and rewarded. We offer competitive base salaries plus a bonus, one of the many reasons ivari is a great place to work.

We also offer health and dental benefits for the entire family from Day 1 But that’s just the beginning. When you join the ivari team you also get
- A fantastic vacation plan and time off
- A pension plan with 100% match by ivari
- Employee savings plan with 75% match to help you save even more
- Flexible and hybrid work arrangements
- Opportunities for professional development
- Recognition programs to cheer you on, motivate and reward
- Wellness programs to keep you healthy and happy

**Who you are**

Someone who enjoys a culture where everyone is genuinely respectful and you can be your authentic self every day. Your contributions and opinions are not only sought, but valued. You know the importance of, and live by, our core values of
- Bringing clarity and focus to your work
- Taking ownership and doing what you say you will
- Remaining flexible
- Collaborating with others

Does this sound like you? We’re looking for great people to join our team

Our commitment to inclusivity is reflected in the safeguards, policies and commitments we have in place to remove barriers and provide equal opportunities to prospective and current employees, without discrimination.