Responsible Officer
Title: Responsible Officer
Compensation: Competitive + 25% Bonus + Benefits
Location: Remote - Montreal, QC
Status: Full-Time, Permanent
Responsibilities
• Maintain and enhance the supervisory control framework for Quebec, including the development, monitoring, and reporting of key performance indicators (KPIs), key risk indicators (KRIs), and supervisory controls designed to effectively oversee the recruiting, sales, and business activities of the company’s agents. Ensure implementation and enforcement of existing and new regulatory requirements, and other directives issued by the Autorité des marchés financiers (AMF) and applicable regulatory bodies.
• Provide oversight of product-provider supervision programs. Partner with carriers to review sales practices, monitor trends, address regulatory concerns, and coordinate communications to field agents. Collaborate with product providers with regard to their own internal oversight.
• Coordinate with the Quebec Business Review team to conduct periodic branch examinations, client file reviews, and compliance assessments to evaluate adherence to regulatory requirements, carrier expectations, and company’s policies and procedures.
• Lead remediation efforts following up to impose and monitor corrective measures, such as agent heightened supervision, resulting from deficiencies identified during office inspections, surveillance activities, and client file reviews.
• Escalate material concerns to the President of Canada and Chief Compliance Officer agents’ sales activities that do not comply with company’s policies and/or Quebec regulations. Oversee the suitability review process to ensure insurance sales align with the needs of the customer. Provide an agent sales and quality reporting to evaluate file completeness and client affordability.
• Conduct supervisory branch visits and regulatory oversight reviews for all company branch offices in Quebec.
• Support the company’s Compliance team with policy updates, special projects, complaint handling and investigations.
• Provide periodic training to internal partners (ie. Quebec Business Review team) and agents on needs-based selling, policies and procedures, and/or other topics the RO deems necessary.
• Monitor regulatory developments, AMF bulletins, enforcement proceedings, disciplinary decisions, and industry guidance to identify emerging risks and proactively enhance supervisory practices, controls, and training programs.
Qualifications:
• Twelve years insurance and/or securities compliance or supervision experience
• Hold a certificate issued by the Autorité des marchés financiers (AMF) or equivalent training certificate
• Life insurance license, as required by territory
• Extensive knowledge of Quebec insurance regulations
• Outstanding written and oral communication, presentation, and relationship management skills to work with business partners, Compliance, Legal, and Field leadership
• Ability to lead teams, influence others, and deliver difficult messages while keeping effective relationships intact
• Proficiency using MS Office
Preferred Qualifications:
• RO experience within an insurance company or managing general agent
• University degree in a business field
• Mutual funds license an asset
We thank all candidates for showing interest in this role; however, only retained candidates will be contacted.
For more information on our recruitment service, please visit our website
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