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Field Auditor
2 weeks ago
About This Position
This individual will be working closely with the Legal and Compliance teams, the suitable candidate will be part of the Field Audit team responsible for regulatory compliance reviews of the branches and sub-branches of Primerica offices across Canada. This individual will also ensure that policies and procedures are implemented in accordance with the regulatory requirements and support Primerica Canada advisors in maintaining high standards in matters of compliance. We are looking for Field Auditor to join our Field Audit department.
Responsibilities
Responsibilities and Qualifications
- Prepare and distribute notification packages for individual audits
- Coordinate with the Field Force and establish monthly schedules in support of the Annual Audit Plan considering travel cost
- Prepare and conduct new Branch Manager and RVP training and compliance briefings and educate field personnel on proper methods and procedures
- Conduct research and analyze data in support of Field Audits and Field Inquiries
- Research and review compliance requirements
- Execute the audit program and complete interviews to identify potential gaps and/or compliance deficiencies with respect to regulatory requirements and /or corporate policies and procedures
- Understand and utilize proper reporting requirements
- Perform audits and observe Opportunity Night presentations to ensure proper supervision and compliance
- Perform ad hoc audits and investigations as required
- Coordinate and perform Regulatory Field Assistance audits and visits
- Identify and escalate potential high-risk compliance issues with the Head Office team
- Assess and report audit results after considering the review of all systems, office, documents/files, interviews, and audit history to the Field Force
- Follow-up and remediate audit findings with the Field Force
- Function as a communication channel for flow of information to and from the Head Office (Mississauga, ON)
- Interact and establish rapport with Field Leaders and maintain a high degree of knowledge, proficiency and understanding of regulatory requirements and company policies
- Relate company goals and objectives to the Field Force in a positive manner, obtain field input and observe field response to programs and changes in order to provide feedback to senior management
- Willingness to travel across Canada and work on weekends (nature of the job may require up to 70-80% of local/across Canada travel)
- Home based office; preferred candidate resides in Greater Toronto Area to optimize travel
- Other duties as may be assigned
Qualifications
- Minimum of 2 years' experience as a Field Compliance Auditor, Inspector and/or Investigator within the financial services industry would be considered an asset; experience with a CIRO registered Dealer would be preferred
- Must have successfully completed either the IFSE Canadian Investment Funds Course and the IFSE Branch Managers' Examination Course or IFSE Ethics and Professional Conduct (EPC), Investment Funds in Canada (IFC), Canadian Securities Course (CSC), Branch Compliance Officer's Course (BCO), CSI Branch Managers Course (BMC), Conduct and Practices Handbook Course (CPH) and has obtained equivalent experience, training or education required to perform audits under CIRO rules. This may include having been actively involved in the compliance function of a CIRO registered Dealer or other equivalent supervisory role
- Post-secondary education an asset or equivalent knowledge and skills acquired through related work experience
- Valid Driver's License and access to a vehicle
- Fluent in English, written and verbal communication skills
- Bilingualism (English/French) considered an asset
- Ability to work well independently to complete assigned tasks
- Exceptional organizational skills, ability to prioritize assignments and strong attention to detail
- Familiarity with the financial services industry or regulatory or enforcement experience would be considered an asset
- Working knowledge of regulatory requirements related to the business of life insurance and mutual fund industry an asset
- Focused, highly motivated results-oriented individual with the strong ability to multi-task and perform under pressure and within strict timelines in a fast-paced environment
- Must be proficient in MS Office (Word, Excel)
It has been and will continue to be the policy of Primerica, Inc., and its subsidiaries to be an Equal Opportunity Employer. We provide equal opportunity to all qualified individuals regardless of race, sex, color, religious creed, religion, national origin, citizenship status, age, disability, pregnancy, ancestry, military service or veteran status, genetic or carrier status, marital status, sexual orientation, or any classification protected by applicable federal, state or local laws.
At Primerica, we believe that diversity and inclusion are critical to our future and our mission – creating a foundation for a creative workplace that leads to innovation, growth, and profitability. Through a variety of programs and initiatives, we invest in each employee, seeking to ensure that our people are not only respected as individuals, but also truly valued for their unique perspectives.
