Compliance Analyst, Canadian Market Conduct

2 weeks ago

Toronto, Canada Foresters Financial Full time
Job Description

  • Market Conduct and Sales Reviews (LIA’s, advisors and MGA’s):
    • Collection of Documentation
    • Follow up and negotiation for missing documentation, as required.
    • Tracking workflow and progress.
    • Reviewing documentation per standardized compliance process to assess sales practices and other information against regulatory and Foresters/Canada Protection Plan requirements and expectations.
    • Writing review observations and findings.
    • Corresponding with reviewed entity.
    • Escalation to Complaints, SIU, Management, as required.

  • Other functional support to the Manager and Compliance team. This may include, but is not limited to:
    • Assisting the Manager with training, record keeping, research, etc.
    • Providing assistance to team members.
    • Identifying areas for improvement and attention.
    • Representing Compliance at various internal functions or on internal committees or projects.
    • Representing Foresters/CPP on external Compliance committees.

  • A minimum of 2-3 years of progressive experience in Sales, Customer Service, New Business or other relevant experience in the life insurance industry.
  • College/University education or equivalent experience.
  • Knowledge of key regulators and regulatory requirements applicable to Life Insurance Market Conduct.
  • Familiarity with, and commitment to, the principles of Fair Treatment of Customers.
  • Proficient at Microsoft applications and CPP/Foresters in-house applications.
  • Highly developed written and oral communication skills, including the ability to build relationships, engage and influence others.
  • Ability to work independently as well as in a team and manage multiple priorities and timelines.
  • Heightened sense of curiosity, urgency, and courage.
  • Practices sound judgement; a high level of integrity and trust.
  • Knowledge of the business operations of Canada Protection Plan/Foresters Financial is preferred.

#LI-Hybrid

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