Investigations Compliance Specialist - Hybrid

ivari Canada; Toronto; Hybrid; CAD 70,000 - 90,000; Full time

Benefits offered by this job

Annual bonus

Health and dental benefits

Employee pension plans

Hybrid work

Vacation & PTO

Professional development

Collaborative culture

Wellness programs

Job summary

ivari Canada is seeking a Compliance Specialist, Investigations to support the Distribution Compliance program by conducting advisor investigations and analyzing data and trends. You will ensure investigations are fair, transparent, objective, and compliant with regulatory requirements and ivari policies.

You will develop expertise in applicable regulations, prepare investigation reports, and advise on actions while monitoring implementation and outcomes across the advisor network.

Qualifications

• Post-secondary education aligned with the position.
• Minimum 5 years’ experience in a compliance investigative role in financial services.
• Strong understanding of insurance activities, products, and practices.
• Knowledge of regulations and regulatory notices.
• Experience in investigations and reporting.
• Ability to gather, analyze, organize, document and present large volumes of information.
• Bilingual English/French is an asset.

Responsibilities

• Gather information and conduct impartial investigations of sales advisors.
• Develop expertise in regulations and guidance applicable to ivari advisors.
• Make recommendations for actions based on investigations.
• Communicate effectively with stakeholders on investigations and outcomes.
• Prepare investigation reports and substantive response letters.
• Monitor corrective and remedial action plans.
• Review escalated complaints per fair treatment and regulatory obligations.
• Provide Final Position Letter to complainants/regulators.
• Monitor and analyze trends in advisor conduct for risk mitigation.

Skills

Verbal and written communication

Analytical thinking

Data analysis

Documentation & organization

Bilingual English/French (asset)

Education

Post-secondary education aligned with the position

Tools

Data management tools

Job description

ivari Canada is seeking a Compliance Specialist, Investigations to support the Distribution Compliance program by conducting advisor investigations and analyzing data and trends. You will ensure investigations are fair, transparent, objective, and compliant with regulatory requirements and ivari policies.

You will develop expertise in applicable regulations, prepare investigation reports, and advise on actions while monitoring implementation and outcomes across the advisor network.