Talent.com
Compliance Analyst, Canadian Market Conduct - 12 month Contract

Compliance Analyst, Canadian Market Conduct - 12 month Contract

Foresters FinancialToronto - CPP
30+ days ago
Salary
CAD83000–CAD90000 yearly
Job type
  • Full-time
Job description

Job Description

  • Market Conduct and Sales Reviews (LIA’s, advisors and MGA’s) :

Collection of Documentation

  • Follow up and negotiation for missing documentation, as required.
  • Tracking workflow and progress.
  • Reviewing documentation per standardized compliance process to assess sales practices and other information against regulatory and Foresters / Canada Protection Plan requirements and expectations.
  • Writing review observations and findings.
  • Corresponding with reviewed entity.
  • Escalation to Complaints, SIU, Management, as required.
  • Other functional support to the Manager and Compliance team. This may include, but is not limited to :

    • Assisting the Manager with training, record keeping, research, etc.

  • Providing assistance to team members.
  • Identifying areas for improvement and attention.
  • Representing Compliance at various internal functions or on internal committees or projects.
  • Representing Foresters / CPP on external Compliance committees.
  • A minimum of 2-3 years of progressive experience in Sales, Customer Service, New Business or other relevant experience in the life insurance industry.
  • College / University education or equivalent experience.
  • Knowledge of key regulators and regulatory requirements applicable to Life Insurance Market Conduct.
  • Familiarity with, and commitment to, the principles of Fair Treatment of Customers.
  • Proficient at Microsoft applications and CPP / Foresters in-house applications.
  • Highly developed written and oral communication skills, including the ability to build relationships, engage and influence others.
  • Ability to work independently as well as in a team and manage multiple priorities and timelines.
  • Heightened sense of curiosity, urgency, and courage.
  • Practices sound judgement; a high level of integrity and trust.
  • Knowledge of the business operations of Canada Protection Plan / Foresters Financial is preferred.

    • This is a 12 month contract role.

    LI-Hybrid