Compliance specialist Jobs in Vaughan, ON

Advisor Compliance & Business Practice Specialist (Hybrid)

Hub Financial, a division of HUB International, is one of Canada’s largest independent Managing General Agencies (MGA). Specializing in life insurance, investments, and wealth management, we provide independent financial advisors with a wide range of products, resources, and tools to help their business succeed. Our services include access to top-tier insurance solutions, cutting-edge technology platforms, and operational support all designed to streamline business processes and improve client outcomes. At Hub Financial we empower independent advisors to grow their practices, enhance their client service, and deliver comprehensive financial solutions.

About The Role
We are seeking a motivated professional who thrives in a fast paced environment and is comfortable managing multiple priorities with strong attention to detail. This role plays a key part in supporting Advisor compliance within the Insurance division, ensuring adherence to regulatory expectations, internal policies, and best practices. The individual will contribute to compliance oversight through monitoring suitability, analyzing data, identifying trends, and assisting with audits and ongoing project work.

What You’ll Do

• Broker/Advisor Suitability: Review broker accounts and escalate areas of concern relating to financial instability, incomplete or expired compliance documents, regulatory enforcement, conduct activities and sales trending. Assess, document and escalate any action required relating to credit, conduct or compliance issues based on facts gathered from Insurance Councils, Insurer Head Offices or other information obtained by HUB.

• Broker/Advisor Monitoring: Report preparation and data analysis pertaining to HUB monitoring processes and trending reviews for insurance and related investment activities. Maintain internal reporting of information collected and issues that are escalated.

• Broker/Advisor Audit: Collaborate with Insurers in advisor audits to ensure compliance with industry responsibilities and appropriate record keeping in client files. Conduct random review of advisor compliance with licensee responsibilities and record keeping in client files.

• Analyse data pertaining to the review of Brokers on ‘Watch’ and prepare reports of observations along with recommendations pertaining to continued suitability

• Project Management: Assist with and coordinate project work as assigned.

What You’ll Need for Success

• Excellent working knowledge of Microsoft Office (excel, outlook, word & power point)

• Demonstrated ability to communicate (written and verbal) effectively

• Detail oriented and good organizational skills

• Ability to apply common sense thinking

• Strong sense of confidentiality

• Three or more years’ experience with life insurance administration in an Insurer or Managing General Agency environment

• Background in broker contracting and related compliance requirements and regulations

• Experience with WealthServ, APEXA or other industry back-office systems is an asset

• College Diploma or other post-secondary education or equivalency

• Good project management skills

• Bilingual in French and English is an asset

What’s in it for you?

Your well-being is our priority, and we back this up with a wealth of benefits:

• Competitive Compensation: Benefit from a pay structure that includes incentives, bonuses, and opportunities to increase your earnings.

• Work-Life Balance: Enjoy flexible work arrangements and generous time off to support your personal and professional life.

• Tailored Benefits: Access a personalized benefits package, including company-matched RRSPs, designed to meet your unique needs.

• Career Growth and Support: Invest in your future with HUB! Take advantage of our sponsored training and development programs, tuition reimbursement opportunities, and coverage for professional license fees and membership dues—everything you need to support your growth and excel in your career.

• Exclusive Perks: Take advantage of discounts on events, travel, accommodations, and personal home & auto insurance.

At HUB, we believe that diversity drives innovation, equity fosters opportunity, and inclusion creates a culture where everyone thrives. We are committed to building a workplace that reflects the communities we serve and where every employee feels valued, respected, and empowered to bring their whole self to work. By embracing diverse perspectives and fostering an inclusive environment, we cultivate a collaborative and dynamic team that delivers exceptional results for our clients and communities.

Compensation
The expected salary range for this position is $55,000 to $62,000 and will be impacted by factors such as the successful candidate’s skills, experience and working location, as well as the specific position’s business line, scope and level.

HUB International is proud to offer comprehensive benefit and total compensation packages which could include extended health benefits, disability insurance, RRSP matching, paid-time-off benefits, and eligible bonuses, and commissions for some positions.

Why Choose HUB?

When you choose HUB, you're choosing a competitive, exciting, and friendly work environment that strategically positions you for longevity and offers significant advancement, growth, and success opportunities. To read more about HUB, please visit -

About HUB International

Headquartered in Chicago, Illinois, is a leading full-service global insurance broker and financial services firm providing risk management, insurance, employee benefits, retirement and wealth management products and services. With more than 19,000 employees in offices located throughout North America, HUB’s vast network of specialists brings clarity to a changing world with tailored solutions and unrelenting advocacy, so clients are ready for tomorrow.

We’re not just an insurance broker, we’re a team of passionate professionals dedicated to innovation, excellence, and empowering our clients and communities through personalized support and expertise.

If you’re interested in learning how you can grow your career at HUB, visit our to explore our opportunities.

AI and Automation Notice

HUB International uses limited AI and automation tools within our recruitment systems to enhance efficiency in the hiring process and in the candidate experience. These tools do not independently make hiring decisions or screen out candidates — all decisions are made through human review.

#LI-hybrid

#LI-TD

Department Business OperationsRequired Experience: 2-5 years of relevant experienceRequired Travel: No Travel Required

We endeavor to make this website accessible to any and all users. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact the recruiting team . This contact information is for accommodation requests only; do not use this contact information to inquire about the status of applications.