Job Description: Responsible for maintaining Compliance policies and procedures, responding to client complaints, regulatory inquiries and conducting investigations. Develops policy and training content to support Compliance and licensed agents/representatives. Prepares reports that identify statistics, trends for internal and external stakeholders.
Responsibilities
• Key liaison for regulatory audits – preparation and coordination of audit requirements (i.e. reports), management of audit responses/action plan, maintenance of all audit items. Revision of policies and procedures on required amendments and enhancements.
• Assist in the development, maintenance and implementation of policies and procedures. Key contact responsible for maintaining policy and procedure manuals.
• Provide recommendations for the enhancement/clarification of compliance policies, procedures.
• Prepare compliance training content for agents/representatives.
• Conduct training for agents/representatives.
• Develop and distribute compliance bulletins/communications to field agents/reps and internal departments.
• Handle assigned compliance projects; align with business needs and in accordance with regulatory developments.
• Respond and investigate client complaints and regulatory investigations.
• Prepare and present investigation reports and cases to internal and external stakeholders
• Escalate issues to management, as appropriate.
• Research, analyze and interpret current, new and proposed regulatory requirements to determine impact to organization (e.g. statutes, regulations, bulletins).
Qualifications
• Post-Secondary education or equivalent experience.
• Successful completion or in the process of completing the Investment Funds of Canada Course (IFIC) or Canadian Securities Course (CSC) or the Life License Qualification Program (LLQP)
• Frequent use and general knowledge of industry practices, techniques and standards.
• Ability to coordinate and prioritize multiple projects in a fast-paced environment.
• Attention to detail and accuracy.
• Organizational and communication skills.
• Results driven and customer focused.
• Proficient with Microsoft Office Suite and Adobe.