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Compliance Consultant

3 months ago

New York, New York, United States iA Financial Group Full time

Job 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:

Compliance Consultant

Responsible for assisting with overseeing the conduct and practices of insurance Advisors, directly and indirectly contracted, for both life insurance and segregated fund business, the Compliance Consultant ensures 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.

Responsibilities:

In collaboration and coordination with the Compliance Team:

  • Assist with creating, maintaining, promoting and auditing policies and procedures that define and conform to the ethical and regulatory compliance requirements of the insurance industry and relevant industry organizations.
  • Ensure that contracted 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.
  • Identify areas of vulnerability relative to prevailing regulations and assist in developing review mechanisms to guard against the risk.
  • Manage client complaints and maintain appropriate records of the complaint process, including identifying internal consequences and corrective actions needed to address any conduct issues, and identifying corrective actions required to prevent future occurrences of the violation, such as revising policies and procedures and updating training programs.
  • Provide guidance to various departments as requested or required.
  • Participate in projects pertaining to risk management, compliance, Anti-Money Laundering and privacy standards as required.
  • Provide assistance in the preparation and completion of the CLHIA MGA Compliance Review Survey for various insurance carriers.
  • Provide support to Advisors with Advisor Practice Reviews from carriers and regulators.
  • Act as a liaison between Agency Services and Sales to ensure appropriate screening of Advisors as well as ongoing monitoring to ensure Advisors remain suitable after contracting.
  • Assist with ensuring PPI is up to date on provincial regulatory requirements including possible changes, along with new initiatives presented by industry associations such as Advocis and the CLHIA.
  • Manage market conduct issues/investigations of Advisors.
  • Monitor and manage compliance issues related to Advisors as brought forward by New Business and Policy Service teams.
  • Assist with the review of sales communications prior to circulation, as needed.
  • Engage in actions that that encourage, reflect and align with PPI's ESG (Environmental, Social and Governance) commitments to our Advisors, their clients and our employees.

Job Knowledge / Work Experience:

  • Excellent French and English language skills, both oral and written due to frequent interactions with French and English-speaking colleagues, internal partners and clients across Canada
  • 7-10 years in the financial services industry strongly preferred
  • 2 years in a regulatory compliance role strongly preferred
  • Strong knowledge of provincial laws and regulations governing insurance
  • Good knowledge of applicable federal legislation such as PIPEDA and Anti-Money Laundering/Anti-Terrorist Financing
  • Strong aptitude for regulatory and legal research
  • Excellent communication skills, both oral and written
  • Excellent negotiating, mediation and influencing skills
  • Proven ability to work effectively with others to establish and maintain collaborative and productive working relationships

Education, Certifications or Licenses

  • University degree in law, accounting or a related discipline preferred

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

Location(s)Toronto, Ontario

Other Possible Location(s)Brossard, Quebec, Quebec, Quebec
CompanyPPI Management Inc.

Posting End Date

Company Overview

iA Financial Group is the strength of a company with a human side, with its over 8,000 employees. Together, we have earned the trust of our more than four million clients and 25,000 advisors who have chosen us for their insurance, savings, and wealth management.

With over $200 billion in assets and half a billion invested in technological innovation, we're a key player in the financial services industry in Canada and the United States. The secret to our success? Investing in you, one person at a time. Because, for over 125 years, we have believed that it's by supporting our employees and surrounding ourselves with the most reputable leaders in the industry, we will continue to innovate.

At iA, we're invested in you.

Our Commitment to Diversity and Inclusion

At iA Financial Group, we support and celebrate diversity. We strive to provide a workplace that is recognized as inclusive for all, regardless of ethnic origin, nationality, language, religious beliefs, gender, sexual orientation, age, marital status, family situation, or physical or mental disability.

Please note that if you need help or assistance to make the recruitment process more accessible for you, please Contact us here. Someone from our team will be happy to assist you with your needs.