Bilingual Compliance Investigator

2 weeks ago

Québec City, Canada IG Wealth Management Full time

POSITION SUMMARY

The Bilingual Compliance Investigator is primarily responsible for managing regulatory requests from all applicable regulators and oversight bodies as they relate to complaints and internal investigations, including acting as a liaison between IGWM and the various regulators and oversight bodies.

The work involves conducting analysis of various sources of information including file documentation, reports, and procedures, both current and historical in order to respond to regulatory inquiries, The Investigator provides guidance to Advisors, RVPs and field management about the regulatory process, investigatory steps and interview preparation including completing settlement negotiations as required. The individual will be responsible for communicating recommendations to affected parties and providing guidance to ensure corrective actions can be effectively implemented and well documented.

In addition, this individual will be responsible for managing communications received in the Compliance Investigations mailbox and establishing new complaint files where warranted. This includes regulatory reporting and sending initial communications to advise clients, advisors, and internal stakeholders an investigation file has been opened. As this role requires bilingual communications, French speaking clients, advisors, and Quebec regulators are a focus.

DUTIES INCLUDE:

Review and respond to communications received in Compliance Investigations mailbox, including investigating concerns to determine if a complaint file is warranted.

Establish new complaint files, complete regulatory reporting, and send initial communications to Clients & Field, and internal stakeholders primarily related to Advisors based in Quebec.

Review all regulatory inquiries from CIRO, OBSI, AMF, CSF, Securities Commissions, Insurance Councils, and other regulatory oversight bodies.

Review the analysis and conclusion of complaints and internal investigations as required.

Prepare, manage, and respond to all regulatory requests related to the complaint investigation files.

Retrieve all requested information from the complaint investigation file, client file, Head Office documentation, including Policy & Procedures.

Acts as Liaison with the Field (SVP, RVP, Advisors) on matters related to investigation file including proposed. settlements, guidance on regulatory interviews, enforcement, and disciplinary matters.

Communicate with Advisors, Regional Management and internal business partners and respond to all regulatory inquiries related to Compliance Investigations files.

Prepare draft responses to regulatory requests for Senior Manager’s review.

Correspond with Senior Management and Legal on escalated matters.

Manage and oversee the interviews and appeals process from OBSI, AMF, etc.

Recommend solutions and participate in the implementation of process improvements and changes to policies and procedures.

QUALIFICATIONS:

Minimum 7 years of experience in a financial services environment, preferably in a compliance-related role

Post-secondary degree in a relevant business discipline

Successful completion of industry courses is considered an asset.

Completion of or commitment to complete, Canadian Securities Course (CSC)

Life Licensing Qualification Program (LLPQ) or equivalent program in Quebec is an asset.

In-depth knowledge of the financial services industry and a good understanding of financial planning strategies

Understanding of rules, policies, and by-laws of CIRO, the AMF, the CSF, provincial securities commissions, insurance commissions/councils and other regulators

Excellent interpersonal, written and oral communication skills including the ability to communicate at the right level for the audience and present information in a convincing manner.

Excellent problem solving, decision-making and organizational skills.

Ability to prioritize and perform multiple tasks and deal with interruptions while working within a deadline-oriented environment

Proficiency in French and English languages (speaking, reading, and writing) is mandatory.

  • Bilingual (E/f) HR Consulant

    3 days ago

    Quebec City, Canada On Side Après-Sinistre Full time

    **Integrity*Respect*Customer-Driven*Excellence*Generosity** Are you inquisitive, curious, love a challenge and find focusing on the details simple? Do people naturally trust you, because you embody neutrality, have a high degree of personal integrity, and the ability to work through highly complex and sometimes tense situations? If these characteristics...

  • Bilingual Quality Assurance Technician/Technicien(ne) bilingue de l’assurance de la qualité

    3 weeks ago

    Québec City, Canada Cardinal Health Full time

    Cardinal Health, with over 1300 employees in Canada is an essential link in the Canadian healthcare supply chain, providing over 70,000 products to healthcare facilities and medical professionals across the country. Cardinal Health is looking for a Bilingual Quality Assurance Technician to join our Quality Management team on a 8-month contract in Dorval,...

  • Technicien Audio-visual Bilingue Bilingual

    3 days ago

    Quebec City, Canada DXC Technology Full time

    **Technicien **Audio-Visual** Bilingue** **Bilingual Audio-Visual** Technician (On Site Longueuil)** - Installe des équipements complexes de communication vocale et vidéo et des périphériques. - Entretenir et réparer l’équipement, câble, lampes, amplificateur, écran, - Supervise les activités de préparation du site, y compris les conduites,...

  • Operations Officer Bilingual

    2 weeks ago

    Québec, Canada GTT, LLC Full time

    Operations Officer - Bilingual Contract Duration 1 year Summary Of Day To Day Responsibilities: Provide a broad range of operational support and performs general to specialized transactions and/or other processing activities for own Operations and Business Services function. Operations Officer May contribute to analysis/reporting on critical projects or...

  • Quality Technician Intern

    1 week ago

    Québec Province, Canada St-Amour & Associates, Senc. Full time

    Construction and engineering Production and engineering The quality specialist plays a crucial role in ensuring the quality of a company's products or services. Typically reporting to a Quality Manager or Quality Director, the Quality Specialist is responsible for ensuring that quality standards and procedures are met at all stages of production or...

  • Mgr- Franchise Performance

    5 days ago

    Québec City, Canada Subway Full time

    l Hungry for a fresh, new career? Look no further because one of the world’s most iconic brands can help you get there.  We are looking for Manager, Franchise Performance to support the Canada territory. The Manager, Franchise Performance will provide strategic business direction and alignment in order to influence Subway franchise owners in...

  • Mgr- Franchise Performance

    2 weeks ago

    Québec City, Canada Subway Full time

    l'un des principaux franchiseurs QSR mondiaux, pour identifier son prochain responsable, Franchise Performance. Cette personne sera responsable du partenariat avec les franchisés pour les aider à s'améliorer et à réussir. Ils définiront les meilleures pratiques, coacheront l'équipe et amélioreront les systèmes actuels. Ce rôle essentiel...

  • Quality specialist

    1 week ago

    Québec Province, Canada St-Amour & Associates, Senc. Full time

    Salary : Activity area : Construction and engineering Post category : Production and engineering Province : Quebec Region : Monteregie, Montreal and surroundings The quality specialist plays a crucial role in ensuring the quality of a company's products or services. Typically reporting to a Quality Manager or Quality Director, the Quality...

  • Regional EHS Advisor

    5 days ago

    Quebec City, Canada Applied Industrial Technologies Full time

    We are currently seeking and have an immediate opening for a qualified and motivated individual to fill the position of **Regional EHS Advisor - Eastern Canada**. The location is flexible to **any Applied branch within Quebec or Ontario, however, preference will be given to those located in/around Quebec City. **The individual must be flexible to a hybrid...

  • Bilingual Part-time Warehouse Floater

    3 days ago

    Québec, Canada Chit Chats Full time

    Company Description Chit Chats' vision is to help Canadians deliver their goods to the world with postage at unbelievable prices. We are a fast-growing entrepreneurial company making a huge impact on Canadian entrepreneurs and businesses. As e-commerce removes borders, we don’t want high Canadian postal rates to be a barrier to world commerce. We aim to...

  • Remote Bilingual Fraud Analyst, Contact Center

    7 days ago

    Quebec City, Canada BMO Financial Group Full time

    VIRTUAL(R)61 - HomeRes - QC - BMO XXXXX Quebec,X0X 0X0 - Provides input and develops recommendations for process and customer service improvements. - Stays abreast of financial crimes risk trends, relevant regulations and compliance standards. - Monitors and analyzes various information provided through detection systems, tools, reports, or manually to...

  • Technical Support Specialist

    2 days ago

    Québec, Canada Mitsubishi HC Capital Canada Full time

    By joining Mitsubishi HC Capital Canada, you will be part of an exceptional team offering flexible and adaptative commercial Equipment Financing solutions to Canadian businesses. Whether it’s leasing, factoring, inventory finance or asset-based lending, our teams are dedicated to offer the best service to our customers. - In 2021, our company was awarded...

  • Bilingual Supervisor, Legal Support Services

    3 days ago

    Quebec City, Canada McCarthy Tétrault LLP Full time

    Description du poste: At McCarthy Tétrault, we offer challenging and rewarding career opportunities and are delighted to have been selected for the eleventh consecutive year in 2023 as one of _Canada’s Top 100 Employers_ and one of _Canada’s Best Diversity Employers_. Our culture is built on professional excellence, collaboration, innovation, thought...

  • Clinical Research Manager

    6 days ago

    Québec, Canada Labcorp Full time

    **Clinical Research Manager** **Home-Based in Montreal, Quebec** **Why settle for one thing when you can have everything?** Labcorp Drug Development gives you the best **two-for-one** opportunity for career growth. Who doesn’t want twice the perks? Working at one of the largest FSP CROs—and partnering with one sponsor with a dedicated therapeutic...

  • Assistant Store Manager, Night Operations

    6 days ago

    québec, Canada Home Depot of Canada Inc. Full time

    Position Purpose: Night Operations Assistant Store Managers (ASMs) are responsible for supervision of Back End Operations (e.g., Receiving, RTV and Freight). Night Ops ASMs are responsible in conjunction with the Fulfillment Team ASM for ensuring that their stores are ''Grand Opening Day Ready'' each day. They accomplish this goal through ensuring proper...

  • Assistant Store Manager, Night Operations

    4 days ago

    Québec, Canada Home Depot of Canada Inc. Full time

    Position Purpose: Night Operations Assistant Store Managers (ASMs) are responsible for supervision of Back End Operations (e.g., Receiving, RTV and Freight). Night Ops ASMs are responsible in conjunction with the Fulfillment Team ASM for ensuring that their stores are ''Grand Opening Day Ready'' each day. They accomplish this goal through ensuring proper...

  • Assistant Store Manager, Night Operations

    4 days ago

    québec, Canada Home Depot of Canada Inc. Full time

    Position Purpose: Night Operations Assistant Store Managers (ASMs) are responsible for supervision of Back End Operations (e.g., Receiving, RTV and Freight). Night Ops ASMs are responsible in conjunction with the Fulfillment Team ASM for ensuring that their stores are ''Grand Opening Day Ready'' each day. They accomplish this goal through ensuring proper...

  • Retention Specialist, Mortgages

    3 days ago

    Quebec City, Canada BMO Financial Group Full time

    VIRTUAL61 - HomeRes - QC - BMO XXXXX Quebec,X0X 0X0 Work schedule: Monday to Friday from 8am to 9pm and Saturday from 9am to 6pm. **Why you’ll love growing your career here**: Join a dynamic outbound team of Specialists who have a passion for providing customers with mortgage options, renewals and solutions. You play an important role as you probe to...

  • Assistant Store Manager, Night Operations

    4 days ago

    québec, Canada Home Depot of Canada Inc. Full time

    Position Purpose:Night Operations Assistant Store Managers (ASMs) are responsible for supervision of Back End Operations (e.g., Receiving, RTV and Freight). Night Ops ASMs are responsible in conjunction with the Fulfillment Team ASM for ensuring that their stores are ''Grand Opening Day Ready'' each day. They accomplish this goal through ensuring proper...

  • Remote Bilingual Fraud Analyst, Contact Center

    7 days ago

    Quebec City, Canada Banque de Montréal Full time

    VIRTUAL(R)61 - HomeRes - QC - BMO XXXXX Québec,X0X 0X0 - Provides input and develops recommendations for process and customer service improvements. - Stays abreast of financial crimes risk trends, relevant regulations and compliance standards. - Monitors and analyzes various information provided through detection systems, tools, reports, or manually to...