Branch Examiner / Auditor
Raisewaterloo, Ontario30+ days ago
Job descriptionAssist with execution of Market Conduct Audits, including conducting advisor interviews and desk file audits against mutual fund and life & health insurance regulatory requirements, and dealer policies and procedures Completing location visits for registered advisor business addresses Conduct pre-audit data collection and analysis for Market Conduct Audits Actively follow up on outstanding audit findings Support the maintenance and continuous improvement of the Market Conduct Audit program Assist with daily review of the centralized team mailbox to address inquiries Perform other duties and special projects as assigned time to time Sound knowledge of MFDA Policies and Bulletins, Securities and Insurance laws and regulations, and the ability to apply these in practical situations Knowledge and experience of industry compliance standards and practices Experience assisting with compliance audits or tests Strong research and analytical skills Good working knowledge of mutual fund and insurance industry distribution systems Knowledge of life / health / wealth product lines Strong interpersonal and communication skills and ability to negotiate at all levels of the organization Exceptional organizational skills High proficiency with technology : Microsoft Excel, Access, Univeris, Customer Service Workbench (CSW) Expected to complete the Branch Managers Course within the first 3 months of hiring High degree of integrity and ethics University or College degree related to accounting, business or compliance Sun Life Distribution channel experience or knowledge Understanding of commission arrangements, advisor contracts and the code of business practice for advisors Successful completion of IFIC Course Successful completion of LLQP Course Salesforce experience Extensive travel across Canada, including travel to remote advisor office locations. The travel requirement could be up to 75%. Note, the role does not require traveling due to the current COVID-19 restrictions. This may change with updated regulatory and Sun Life work travel policies and guidance. Valid Driver's license Willingness to have a background check done
Job Description
Branch Examiner / Auditor
- Pay Rate : (flexible)
- Location : Waterloo,Ontario
- Contract Length : 1 month
Work Type : Remote
We at Raise are hiring right now for one of our Clients. If you’re interested, apply below for your chance to join a great place to work.
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