Advisor Compliance and Business Practices Specialist

HUB International; Vaughan; Hybrid; CAD 55,000 - 62,000; Full time

Benefits offered by this job

Competitive compensation

Work-life balance

RRSP matching

Training & development

Employee discounts

Job summary

Hub Financial, a division of HUB International, is seeking a Compliance and Business Practices Specialist in Woodbridge (Hybrid). You will monitor advisor suitability and ensure regulatory compliance for the Insurance division.

The role emphasizes data analysis, reporting, audits, and project coordination, with strong collaboration across insurers and internal teams. A background in life insurance administration and broker contracting is required.

Qualifications

• Three or more years' experience with life insurance administration in an Insurer or MGA environment.
• Strong Microsoft Office skills (Excel, Outlook, Word and PowerPoint).
• Background in broker contracting and related compliance requirements.
• Experience with WealthServ, APEXA or other industry back-office systems is an asset.
• Excellent communication skills and ability to maintain confidentiality.

Responsibilities

• Monitor advisor suitability and compliance for the Insurance division.
• Review broker/advisor accounts for financial instability, incomplete or expired compliance documents, regulatory enforcement and conduct activities.
• Prepare reports and data analysis pertaining to HUB monitoring processes and trending reviews.
• Collaborate with insurers in advisor audits to ensure compliance and proper record keeping.
• Assist with and coordinate project work as assigned.

Skills

MS Office

Communication

Attention to detail

Organizational skills

Confidentiality

Life insurance administration

Broker contracting

WealthServ / APEXA

Project management

Bilingual (French/English)

Tools

WealthServ

APEXA

Job description

Advisor Compliance and Business Practices Specialist Woodbridge (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 looking for a highly motivated individual that is multitask orientated and computer proficient. Responsible for monitoring Advisor suitability and compliance for the Insurance division.

What You’ll Do

• Responsible for supporting insurance compliance department functions and projects including Broker Suitability and Business Conduct, Data Analysis through development of effective Trending Reports, Audits relating to Business Conduct and project work.
• Broker/Advisor Suitability: Review broker accounts and elevate areas of concern relating to financial instability, incomplete or expired compliance documents, regulatory enforcement, conduct activities and sales trending. Assess, document and elevate 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
• 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 - $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.

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.

HUB International Headquartered in Chicago, Illinois, Hub International Limited 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.

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. HUB International is committed to creating an inclusive and accessible recruitment process for all candidates. If you require accommodations at any stage of the interview process, please let us know, and we will work with you to ensure a fair and equitable experience.

Department Office Administration & Clerical

Required Experience: 2-5 years of relevant experience Required Travel: No Travel Required

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