Compliance Analyst

iA Financial Group (Industrial Alliance); Vancouver; Hybrid; CAD 59,000 - 68,000; Full time

Job summary

A leading company in the financial services sector is seeking a Compliance Analyst to ensure compliance with regulatory requirements. The role involves monitoring insurance advisors and conducting compliance reviews. Candidates should have strong analytical and communication skills, with a preference for those with regulatory experience.

Qualifications

• Minimum of 2 years in regulatory compliance role preferred.
• Knowledge of provincial laws and regulations governing insurance preferred.

Responsibilities

• Assist with overseeing and monitoring compliance of insurance advisors.
• Conduct advisor practice reviews and firm compliance reviews.
• Engage in actions that align with PPI’s ESG commitments.

Skills

Analytical Skills

Communication

Education

University degree or college certificate in a related discipline

Job description

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PPI company overview :

Description

PPI company overview :

PPI (an independent subsidiary of iA Financial) is an Insurance Marketing Organization that sits between independent advisors and insurance companies. From coast-to-coast, we provide value-added services and support such as digital tools, education, marketing, and processing, to help Advisors elevate and grow their business with a socially responsible mindset.

At PPI, each day you have the opportunity to make a meaningful difference when you support our independent insurance advisors in providing financial security and peace of mind to their clients : Canadian families and businesses.

When you join PPI you will be part of a diverse, inclusive and equitable place to work that values different perspectives. You will benefit from a culture that is people-focused, inclusive and collaborative with opportunities to learn and develop your skills, develop your career and make a meaningful impact.

Our people drive our progress through innovative ideas and a commitment to excellence. We work hard and always ensure we have fun along the way.

PPI is pleased to provide employees with the flexibility of a hybrid work environment. This role is eligible for working from home up to 3 days per week.

For more information about PPI visit : www.ppi.ca

Compliance Analyst

The Compliance Analyst will be responsible to assist with overseeing, monitoring, reviewing and reporting on the conduct and practices of insurance advisors and firms for both life insurance and segregated fund business. The successful candidate will ensure effective compliance with the regulatory requirements of the insurance industry, insurance carriers and internal PPI policies, in conjunction with a strong understanding of the business needs of the organization.

Key Responsibilities :

In collaboration and coordination with the Compliance Team :

• Provide support to advisors and firms in the preparation and completion of various insurance carrier, regulator or industry requests / reviews and track various aspects of the process, results and remediation, as needed.
• Ensure appropriate screening of advisors as well as ongoing monitoring to ensure their suitability after contracting.
• Ensure that advisors are aware of and familiar with legal and regulatory requirements, policies and procedures, through participation in mandatory educational programs, compliance questionnaires, and knowledge testing, and report upon such activity.
• Report on and track market conduct issues / investigations of advisors to help identify corrective actions required to prevent future occurrences, such as reviewing policies and procedures and updating training programs.
• Conduct advisor practice reviews (“APR”) and firm compliance reviews in accordance with the requirements of the insurance industry and relevant industry organizations.
• Perform trend reporting on compliance findings originating from advisor APRs, firm compliance reviews, regulator notices and all other compliance sources.
• Assist with creating, documenting, maintaining, communicating and reviewing policies and procedures that define and operationalize the industry’s compliance requirements.
• Monitor, track and assist with the analysis and resolution of privacy breaches.
• Maintain the complaint management process and complaints records.
• Participate in projects pertaining to compliance, anti-money laundering, and privacy, as required.
• Assist in identifying and developing controls to mitigate risk for PPI.
• Engage in actions that encourage, reflect and align with PPI’s ESG (Environmental, Social and Governance) commitments to our Advisors, their clients and our employees.

Education, Experience and Skills :

• Minimum of 2 years in the financial services industry is strongly preferred.
• Minimum of 2 years in a regulatory compliance role is strongly preferred.
• University degree or college certificate in a related discipline is preferred.
• Knowledge of provincial laws and regulations governing insurance preferred.
• Knowledge of applicable privacy and anti-money laundering / anti-terrorist financing legislations preferred.
• Strong analytical skills.
• Excellent communication skills, both oral and written.
• For Quebec candidate, intermediate level of English language required to perform day-to-day compliance reviews and investigations, and collaborate with English-speaking clients, advisors, colleagues, and regulators on a national level through email, phone, and other written correspondences on a daily basis.
• Proven ability to work effectively with others to establish and maintain collaborative and productive working relationships

The expected salary range for this position starts at $59,000 and will be commensurate with the candidate’s experience and skill set.

We thank all applicants for applying, however, only those selected for an interview will be contacted. Your resume may be used for other vacancies.

Seniority level

Seniority level

Entry level

Employment type

Employment type

Full-time

Job function

Job function

Legal

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