Senior Compliance Officer

4 weeks ago

Montreal, Canada IA Financial Group Full time

Description

Purpose of Job:

The Senior compliance officer – Insurance Supervision is responsible for the development of the compliance program and to develop supervision controls relating to distribution of insurance for the iAWIS subsidiary. This person makes sure that iAWIS has rigorous compliance standards and controls across all its insurance activities.

In collaboration with iAPW management, this person drives the development and implementation of innovative compliance processes and strategies for IAWIS.

The position requires agile thinking to meet business and operational challenges, while maintaining alignment with the organization policies’ objectives.

This role is specialized and requires autonomy in making decisions that impact the organization's risk management and adherence to financial services regulations.

Key Responsibilities:

Elaborate and put in place a supervisory framework for insurance distribution offered through iAWIS

Write policies and procedures within your compliance department and make sure it’s published in a timely manner

Provide training to various departments implicated in the distribution of insurance

Provide training to iAPW advisors implicated in the distribution of insurance

Communicate regularly with advisors offering insurance services to make sure they observe the highest standards in the distribution of insurance

Audit and create reports on advisors’ practices

Collaborate with our AGA, PPI, to elaborate a strong supervisory framework taking into account best practices in the industry

Support PPI in the management of clients complaints and if required handle client complaints and coordinate the intervention plans with the other compliance/legal departments and PPI

With the Senior Director, set priorities and objectives for the department and make sure there is a delivery of high-quality service in terms of volume and deadlines.

Ensure compliance with industry regulations, adapting strategies to reflect changing regulatory landscapes and business needs.

Proactively identify regulatory changes, train the various departments on the changes, and make sure the processes are adjusted accordingly.

Engage with internal departments, guiding and influencing decisions related to compliance of insurance distribution.

Make informed recommendations based on an understanding of the wider business plan as well as human and operational resources requirements.

Act as a subject matter expert and providing direction

Identify and assess potential risks in your activities and put in place a strategy to mitigate them.

Regularly report to senior management on risk assessments and compliance status.

Education/Work Experience/Designations

years or more relevant experience in the financial sector, ideally in the distribution of insurance of persons

Strong knowledge of the distribution of financial products and services regulatory landscape in Canada

Analytical, problem solving, and communication skills

Strong organizational skills

Strong judgment and critical thinking skills

Having a certificate in insurance of persons delivered by the relevant authority (an asset)

Proficient in MS Office (Outlook, Word, Access, Excel, PowerPoint)

Advanced knowledge of English and French to communicate daily with external stakeholders and advisors by phone or email. At least 50% of the time will be spent working in English.

EDUCATION AND ACCREDITATIONS

University Degree or a College Diploma preferable in Law, Administration, Finance or similar disciplines

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