Compliance & Market Conduct Advisor

2 months ago

Vancouver, Canada LGM Financial Services Inc. Full time

Key Responsibilities

 

Reporting to EVP, Legal and collaborating closely with the Director, Compliance and Market Conduct, the incumbent will act as resource and one of the main points of contact for providing business stakeholders with general advice and guidance as related to LGM compliance, licensing, dealer quality assurance reviews and administrative support for legal matters. The incumbent will be responsible for:

Compliance and Licensing Matters

·         Monitoring that appropriate licenses are held by distribution partners and internal staff when applicable.

·         Working with the development team on enhancements to develop controls and tighten oversight of data integrity and accuracy.

·         Facilitating and coordinating the implementation of corporate, industry, provincial and federal policies and regulations.

·         Liaising with the provincial regulators.

·         Identifying and recommending improvement to processes pertaining to compliance activities.

·         Promoting the fair treatment of customers throughout the line of business.

·         Supporting the completion and submission of forms related to LGM’s business and insurance licenses and any other administrative task required by the company.

·         Conducting objective compliance investigations as directed and supervised by the Director, Compliance and Market Conduct.

·         Completion of draft insurance license applications, both corporate and individual.

 

Dealer Quality Assurance Reviews

·         Under the supervision of the Director, Compliance and Market Conduct, verify and supervise the offering of insurance products by LGM distributors in the province of Quebec.

·         According to predefined checklists and using template forms, all according to standard operating procedures, conducts supervisory audits to assess product knowledge, compliance with laws and regulations, and fair treatment of customers.

 

Administrative Support for Legal Matters

·         Draft legal correspondence and perform general administrative tasks as directed.

·         Draft revisions to legal agreements as directed and supervised

 

 

 

Core Competencies

 

·         Communication – Able to clearly and articulately present information in both spoken and written word.

·         Collaboration – Develops positive relationships with others in order to build consensus, morale and commitment to goals and objectives.

·         Innovation – Displays the ability to think outside of the box in order to develop creative and new solutions that meets current and future needs.

·         Flexibility – Easily adapts to changing environment and resources.

·         Productivity – Strives to consistently achieve excellence in all tasks and goals.

·         Accountability – Takes personal ownership and responsibility for the quality and timeliness of work commitments and decisions.

·         Resilience - Responds well to pressure and the demands of daily life.  Has flexibility durability, strength and speed of recovery.

 

Other Competencies

 

·         Strong analytical and problem-solving skills

·         Ability to work independently

·         Diplomacy in verbal and written communications with internal and external stakeholders

·         Ability to detect and resolve compliance related issues

 

Required Skills

 

·         Knowledge of automotive insurance regulations required.

·         Fluently Bilingual in English and aFrench with an ability to translate

·         Able to critically evaluate facts and conflicting information, identify risks and propose mitigation strategies.

·         Ability to effectively prioritize competing tasks in line with the organization’s strategic business objectives and to adjust priorities according to changing business needs.

·         Well-developed critical thinking, analysis and problem-solving skills.

·         Ability to interpret and apply corporate policies, legislation, regulations and other documentation.

·         Strong moral compass and ability to articulate matters of importance with diplomacy.

·         Ability to self-direct work and work effectively in a group.

·         Familiarity with insurance license application forms and processes.

·         Familiarity with legal documents and drafting processes.

·         Knowledge and understanding of the Automotive Dealership Finance & Sales office

·         Good knowledge of the market and of the FSM role is an asset

·         Relationship with provincial regulators is asset

·         Knowledge of products distributed by LGM financial services is an asset

 

Education:

·         Post-secondary education in a related field

·         General and/or life Insurance license – an asset

 

Experience:

·         Minimum 4 years of experience in Compliance related activities or Automotive finance and insurance experience



Required Skills

Required Experience

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