Job Description
- Market Conduct and Sales Reviews (LIA’s, advisors and MGA’s) :
- Collection of Documentation
- Follow up and negotiation for missing documentation, as required.
- Tracking workflow and progress.
- Reviewing documentation per standardized compliance process to assess sales practices and other information against regulatory and Foresters / Canada Protection Plan requirements and expectations.
- Writing review observations and findings.
- Corresponding with reviewed entity.
- Escalation to Complaints, SIU, Management, as required.
- Other functional support to the Manager and Compliance team. This may include, but is not limited to :
- Assisting the Manager with training, record keeping, research, etc.
- Providing assistance to team members.
- Identifying areas for improvement and attention.
- Representing Compliance at various internal functions or on internal committees or projects.
- Representing Foresters / CPP on external Compliance committees.
- A minimum of 2-3 years of progressive experience in Sales, Customer Service, New Business or other relevant experience in the life insurance industry.
- College / University education or equivalent experience.
- Knowledge of key regulators and regulatory requirements applicable to Life Insurance Market Conduct.
- Familiarity with, and commitment to, the principles of Fair Treatment of Customers.
- Proficient at Microsoft applications and CPP / Foresters in-house applications.
- Highly developed written and oral communication skills, including the ability to build relationships, engage and influence others.
- Ability to work independently as well as in a team and manage multiple priorities and timelines.
- Heightened sense of curiosity, urgency, and courage.
- Practices sound judgement; a high level of integrity and trust.
- Knowledge of the business operations of Canada Protection Plan / Foresters Financial is preferred.
This is a 12 month contract role.
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