Manager Market Conduct Investigations

Canada Life; London; On-site; CAD 76,000 - 142,000; Full time

Job summary

A leading financial services provider is seeking a Manager for Market Conduct Investigations in London, Ontario. This role involves leading a team to ensure compliance with regulations and manage investigations into advisor misconduct. Candidates should possess strong analytical and leadership skills, with a minimum of 5 years in the financial sector. A post-secondary degree and familiarity with financial regulations are required. This position offers a salary range of $76,400 - $141,400 annually, depending on experience.

Qualifications

• Over 5 years of related experience in the financial industry.
• Experience resolving customer complaints or conflicts.
• Ability to speak and write French is an asset.
• Experience using data analytics for decision-making is an asset.

Responsibilities

• Lead a team executing a strategic vision and mentorship.
• Analyze information and ensure efficient investigation processes.
• Support execution of advisor suitability policy and ensure compliance.
• Provide training to team members on processes and legal requirements.

Skills

Strong organizational and analytical skills

Effective leadership skills

Excellent verbal and written communication

Understanding of regulations governing financial industries

Ability to work in a fast-paced environment

Education

Post-secondary degree in relevant field

Completion of financial industry courses

Job description

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Permanent Full Time

We are looking for a manager to join the Market Conduct Investigations team and work closely with internal business partners to help ensure the suitability of our company’s financial advisors and their activities. Our consumers, regulators, and shareholders expect us to have robust policies and procedures to handle any allegations of financial advisor misconduct or negligence. The successful candidate will help build confidence in our ability to investigate complaints and concerns about our advisors effectively, efficiently and fairly.

In this role, you’ll be leading a dedicated and collaborative team of investigators where you are challenged to make a difference to the company and its customers. Your leadership will be crucial in supporting the development and implementation of policies that not only meet regulatory requirements but also align with our company’s values and goals. You’ll work closely with the Director, Market Conduct Investigations to guide your team through advisor investigation and / or client complaint resolution while providing mentorship and fostering a collaborative environment. If you are looking to apply your financial industry knowledge in a fast-paced and agile environment, this opportunity is for you!

What you will do :

• Lead a team to execute a strategic vision, providing direction and mentorship to ensure alignment with organizational goals.
• Work with the rest of Market Conduct Investigations to build a high-performing team, committed to excellence and innovation. This includes challenging current processes and elevating team performance through continuous improvement.
• Effectively collaborate with various business units and supervise investigations relating to allegations of financial advisor misconduct and / or negligence, ensuring thorough and efficient processes. Analyze information and make good decisions in potential ambiguous or difficult situations.
• Provide effective leadership while monitoring case handling times to ensure prompt resolution within applicable service standards.
• Identify and support implementing policies and procedures for investigating allegations of advisor misconduct and / or negligence across both insurance and mutual fund products, promoting best practices and compliance.
• Ensure overall quality by reviewing and editing work by direct reports as required to ensure it accurately reflects our company’s position. Train team members on processes, legal requirements and / or products where required.
• Support the execution of the advisor suitability policy, ensuring adherence to regulatory standards and organizational objectives.
• Support the ongoing reporting of outcomes from customer complaints and investigations to senior management, including the Chief Compliance Officer and other key internal and external stakeholders (i.e., Regulators, professional liability insurers, etc.).
• Engage in the proactive monitoring and data analytics functions to identify and address potential issues, promoting continuous improvement and operational efficiency.
• Help facilitate effective communication and resolution of inquiries with financial advisors E&O carriers.
• Liaison with regulators on matters related to advisor inquiries, ensuring compliance and fostering positive relationships.

What you will bring :

Strong organizational and analytical skills with the ability to handle conflicting priorities and fluctuating workloads.

Effective leadership skills and documented leadership experience (either direct or indirect leadership) while fostering a collaborative and supportive work environment.

Demonstrated knowledge and experience resolving customer complaints and / or conflicts using solution-oriented business and compliance judgement.

Ability to work effectively in a fast-paced, deadline driven team setting, always ready to tackle new challenges.

Excellent verbal and written communication skills with comfort presenting to senior leaders.

Strong understanding of the regulations and policies governing the insurance, mutual fund, and securities industries.

Skilled at establishing strong relationships with internal business partners and effective at working cross-functionally to solve business problems.

Ability to speak and write French would be an asset.

Experience using data analytics to drive informed decision-making would be an asset.

Post-secondary degree, with experience in and knowledge of the legal, compliance, and / or financial industry.

Mutual fund and / or securities knowledge, demonstrated by successful completion of relevant financial industry courses such as the Canadian Investment Funds Course, Branch Manager’s Examination Course and / or the Canadian Securities Course. The successful candidate will be required to complete these courses upon starting the role if they do not already have these designations.

Over 5+ years of related experience, bringing a wealth of knowledge and expertise to the role.

The base salary for this position is between $76,400 - $141,400 annually. This represents base salary only and does not represent other variable compensation components of our total compensation ( i.e. annual bonus, commission etc). If you are selected to move forward in our recruitment process, your recruiter will be able to discuss additional details of our total rewards program with you.

Career opportunities will be open a minimum of 5 business days from the date of posting, closing dates will vary depending on the search activity. All applications received will be reviewed on a rolling basis.

Be your best at Canada Life- Apply today!

Being a part of Canada Life means you have a voice. This is a place where your unique background, perspectives and talents are valued, and shape our future success.

You can be your best here. You’re part of a diverse and inclusive workplace where your career and well-being are championed. You’ll have the opportunity to excel in your way, finding new and better ways to deliver exceptional customer and advisor experiences.

Together, as part of a great team, you’ll deliver on our shared purpose to improve the well-being of Canadians. It’s our driving force. Become part of a strong and successful company that’s trusted by millions of Canadians to do the right thing.

Canada Life servesthe financial security needs of more than 13 million people across Canada, with additional operations in Europe and the United States. As members of the Power Financial Corporation group of companies, we’re one of Canada’s leading insurers with interests in life insurance, health insurance, investment and retirement savings. We offer a broad portfolio of financial and benefit plan solutions for individuals, families, businesses and organizations.

We are committed to providing an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of the communities in which we live, and to creating an environment where every employeehas the opportunity toreach their potential.

It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will work with applicants who request a reasonable accommodation during the application process. All information shared during the accommodation request process will be stored and used in a manner that is consistent with applicable laws and Canada Life policies. To request a reasonable accommodation in the application process, contact [e-mail].

Canada Lifewould like to thank all applicants, however only those who qualify for an interview will be contacted.

Seniority level

Seniority level

Not Applicable

Employment type

Employment type

Full-time

Job function

Job function

Sales and Business Development

Industries

Financial Services and Insurance

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