Senior Compliance Investigator Jobs

We’re looking for a Senior Compliance Investigator to join our Market Conduct Investigations team.

Reporting to the Manager, Market Conduct Investigations, the Senior Compliance Investigator will be responsible to help protect the company’s integrity and customer livelihoods by reviewing and resolving allegations of negligence and inappropriate conduct by financial advisors.

As a Senior Compliance Investigator, you are accountable for investigations from inception to completion. You investigate and respond to client complaints alleging advisor misconduct and negligence, conduct comprehensive investigations of advisors and their books of business, and review and respond to requests from regulators.

We are a supportive and collaborative team that enjoys taking on new challenges and making a difference to our company and its customers. We are seeking a natural problem solver with excellent investigation and communication skills. If this sounds like you, don’t go unnoticed, we want to hear your story and why you’re a winning candidate.

What You Will Do

• Plan and execute special projects to enhance the effectiveness and capabilities of the Market Conduct Investigations team
• Write decision letters to customers advising them of the outcome of your review
• Determine an investigation strategy using a combination of inside investigation and cognitive interviews of customers and advisors
• Draft comprehensive investigation reports that describe the relevant facts and provide recommended actions to resolve the complaint or investigation for our internal stakeholders
• Respond to and diffuse media and litigation threats
• Report your findings to senior management and other key internal and external stakeholders (i.e. Regulators, professional liability insurers, legal counsel etc.)
• Provide support to the law department on litigation matters
• Promptly review and analyze large volumes of documentation in policy/account files to identify the information relevant to the case

What You Will Bring

• Demonstrated knowledge and experience resolving complaints and/or conflicts
• Listen attentively, and be comfortable and adept speaking with uncooperative or frustrated parties
• Analyze large volumes of information and summarize it in short, succinct communications tailored to the applicable audience
• Ability to:
• Exercise good judgment and make pragmatic decisions
• Influence and persuade others by applying excellent interpersonal skills
• Ensure close attention to detail to complete high quality, accurate work product
• Work with minimum supervision and have a strong commitment to customer service
• Think critically to identify key issues and solve problems
• A strong understanding of privacy obligations and regulatory requirements involving life insurance, mutual fund, and/or securities products
• A post-secondary degree, experience, and knowledge of the legal, compliance, financial, and/or insurance industries and products
• Speak and write using plain, clear, and concise language, demonstrating excellent communication skills
• Excellent communication skills in English are required. The ability to communicate in another language (French and/or Mandarin preferred) is considered an asset.
• Sound mutual fund and/or securities knowledge, which may be 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

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 serves the 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 employee  has the opportunity to  reach their potential.

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