Market Conduct & Advisor Compliance Specialist

HUB International; Vaughan; Hybrid; CAD 65,000 - 85,000; Full time

Job summary

A leading independent financial services firm in Vaughan is seeking a motivated professional for a Market Conduct & Advisor Compliance role. This position involves supporting Advisor compliance by analyzing data, evaluating broker conduct, and ensuring adherence to internal policies. Candidates should possess strong communication skills, a background in life insurance, and project management abilities. A college diploma is preferred, along with a minimum of three years of relevant experience. This hybrid role offers competitive compensation and career growth opportunities.

Benefits

Competitive Compensation

Flexible work arrangements

Personalized benefits package

Training and development programs

Discounts on events and travel

Qualifications

• 3+ years experience with life insurance administration in an Insurer or MGA environment.
• Background in broker contracting and compliance requirements.
• Experience with industry back-office systems is an asset.

Responsibilities

• Support Advisor compliance within the Insurance division.
• Analyze data, identify trends, assist with audits.
• Monitor broker accounts for compliance issues.

Skills

Microsoft Office (Excel, Outlook, Word & PowerPoint)

Effective communication (written and verbal)

Attention to detail

Organizational skills

Common sense thinking

Confidentiality

Project management skills

Bilingual (French and English)

Education

College Diploma or post-secondary education

Tools

WealthServ

APEXA

Job description

Market Conduct & Advisor Compliance (Hybrid)

Hub Financial - Insurance Compliance
Woodbridge, ON

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 seeking a motivated professional who thrives in a fast‑paced environment and is comfortable managing multiple priorities with strong attention to detail. This role plays a key part in supporting Advisor compliance within the Insurance division, ensuring adherence to regulatory expectations, internal policies, and best practices. The individual will contribute to compliance oversight through monitoring suitability, analyzing data, identifying trends, and assisting with audits and ongoing project work.

What You’ll Do

• Broker/Advisor Suitability: Review broker accounts and elevate any concerns relating to financial instability, incomplete or expired compliance documents, regulatory enforcement, conduct activities and sales trending. Assess, document and escalation 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.

• Market Conduct Concerns: Coordinate the successful completion of all market conduct concerns identified through the collection of data, assessment and follow‑ups. Liaise with Insurer Head Office Compliance contacts to ensure resolution of all broker conduct issues identified.

• Broker/Advisor Monitoring: Prepare reports and perform 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 & PowerPoint).

• 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.

• College Diploma or other post‑secondary education or equivalency.

• 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.

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.

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.

To learn how you can grow your career at HUB, visit our Careers Page to explore our opportunities.

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.

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.

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

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