Job Description

Job Summary

This is a full time position. We are looking for candidates who have at lease three years experience with related compliance work and

Ideally with a legal background

.

We have a fixed office schedule which runs from Monday to Friday.

No more weekends and late night shifts. Great for work and life balance.

Most important of all, we have knowledgeable staff and friendly environment to help you achieving your goals.

.

Responsibilities and Duties

The duties will include - but not be limited - to help the compliance officer to do:

-

Regulatory Compliance:

Monitor and interpret applicable regulations and guidelines (e.g., FSRA, AMF, CLHIA, FINTRAC).

Ensure the MGA's operations and policies comply with all applicable provincial and federal laws.

Act as the point of contact for compliance-related audits or inspections by regulatory authorities.

Policy Development & Implementation:

Develop, maintain, and implement internal compliance policies and procedures.

Ensure effective communication of compliance protocols to staff, advisors, and business partners.

Advisor Licensing & Oversight:

Oversee the licensing and contracting processes for life insurance agents and ensure records are up to date.

Monitor advisors' CE (continuing education) credits, E&O insurance, and license renewals.

Investigate any conduct issues or client complaints involving advisors.

Training & Education:

Provide compliance training to staff and contracted advisors on key topics like AML/ATF, privacy, client disclosure, and sales practices.

Stay current with regulatory changes and update training materials accordingly.

Monitoring & Auditing,

Compliant & Investigation

Conduct regular audits of advisor files, sales practices, and documentation for compliance adherence.

Maintain logs of compliance infractions and corrective actions taken.

Deal with all complaints from the clients

Co-operate investigations from insurers and regulators

Anti-Money Laundering (AML) Program & Privacy Policy:

Act as the designated AML compliance officer (if applicable).

Monitor suspicious transactions and file reports to FINTRAC when necessary.

Reporting:

Prepare compliance reports for executive leadership and, where required, to insurers or regulators.

Track and report incidents of non-compliance and oversee remediation efforts.

Third-Party Coordination

:

Liaise with life insurers and third-party service providers to ensure contractual and regulatory compliance.

Qualifications and Skills

Must be accountable and dependable

. candidates with a legal background

. Must have high ethics and integrity

. Strong and Enthusiastic customer service skills

Solid team player who is able to work independently

Advanced computer skills.

Willing to grow and develop within a fast-paced environment

Mandarin Speaking is an asset

Benefits

group insurance after 3 months probation

Expected start date: 2025-9-1

Job Types: Full-time, Permanent

Additional pay:

Bonus pay
Benefits:

Dental care Extended health care Life insurance On-site parking Paid time off Vision care
Schedule:

Day shift
Work Location: In person

Expected start date: 2025-09-01