Compliance Specialist, Investigation

Résumé du poste

The Compliance Specialist will conduct impartial investigations into sales advisor conduct and analyze data to identify trends and risks. They are responsible for preparing investigation reports, monitoring corrective action plans, and communicating outcomes to stakeholders.

Détails du poste

About Us Let us introduce ourselves. With 300+ employees across Canada, ivari is a company that’s making a difference in the world of life insurance. How? By finding and hiring employees who are passionate about helping people protect their families, and by giving them the best, most supportive workplace possible. ivari is part of Sagicor Financial Corporation, a leading financial services provider with over 185 years of history operating across the Caribbean, US, and Canada. We offer a wide range of products and services, including life and health insurance, annuities, pension administration and investment services. At ivari, everyone is welcome! It is our mission to attract, develop, and retain a workforce that is as diverse as the customers we serve and the communities in which we do business. We offer an inclusive and accessible work environment where all employees and customers feel valued, respected, and supported. Here’s the job opportunity… The Compliance Specialist, Investigations is a new vacancy that will be responsible for supporting the Distribution Compliance program through conducting advisor investigations and data and trends analysis. You will ensure all assigned investigations are handled in a fair, transparent, objective, and factual manner in accordance with regulatory requirements, fair treatment obligations and ivari policies. As a Compliance Specialist - Investigations, you will … * Gather information and conduct impartial, independent, and objective investigations of sales advisors * Develop and maintain a high level of expertise in regulations, directives and guidance which apply to ivari sales advisors * Make recommendations for actions based on investigations * Ensure effective and timely communications with stakeholders on investigations, including courses of action, outcomes, associated risks and recommendations * Prepare investigation report or substantive response letters for each investigative matter * Monitor advisors’ corrective and remedial action plans * Assist in review of escalated complaints in accordance with fair treatment and regulatory obligations * Provide a Final Position Letter to the complainants and/or regulators * Monitor and analyze trends in sales advisor’s conduct to recommend proactive measures for risk mitigation strategies to management What we are looking for… * Post-secondary education that would align with the position * Minimum 5 years’ experience in a compliance investigative role in the financial services industry at a bank, insurance company, or securities firm * Sound understanding of insurance activities, products, and practices * Strong verbal and written communication skills * Strong analytical skills to make rational and logical deductions at times with limited information * Ability to gather, analyze, organize, document and present large volumes of information in a succinct and organized manner. * Current knowledge of regulations including relevant insurance policies and regulatory notices, applicable provincial and territorial rules, and regulations * Financial services industry association memberships are an asset * Bilingual in English and French (verbal and written) is an asset * Technical knowledge and skill/ability with information and data management related tools What we pay… Pay Range: $70,000 - $90,000 What's in it for you At ivari, it's important for us to keep our people motivated, recognized and rewarded. We offer competitive base salaries plus a bonus, one of the many reasons ivari is a great place to work. We also offer health and dental benefits for the entire family from Day 1! But that’s just the beginning. When you join the ivari team you also get… * Competitive compensation and annual bonus opportunity * Comprehensive health and dental benefits [for you and your family] * Pension and employee savings plans with company matching contributions * Hybrid work arrangement with dedicated in-office collaboration days * Competitive vacation and paid time-off programs * Professional development and continuous learning opportunities * Collaborative culture where individual contributions have visible impact * Wellness programs supporting physical and mental health Who you are… Someone who enjoys a culture where everyone is genuinely respectful and you can be your authentic self every day. Your contributions and opinions are not only sought, but valued. You know the importance of, and live by, our core values of… * Bringing clarity and focus to your work * Taking ownership and doing what you say you will * Remaining flexible * Collaborating with others Does this sound like you? We’re looking for great people to join our team! Our commitment to inclusivity is reflected in the safeguards, policies and commitments we have in place to remove barriers and provide equal opportunities to prospective and current employees, without discrimination. To apply, please email your resume to: human.resources@ivari.ca [human.resources@ivari.ca] A Human Resources representative is available to consult with applicants who require accommodation in the application or recruitment process. Any information shared by the applicant about an accommodation will be treated as confidential. If you do require an accommodation, please email human.resources@ivari.ca [human.resources@ivari.ca]. ** ivari does not utilize AI in our recruitment process to screen, select, or assess applicants

Ce que vous ferez

The Compliance Specialist will conduct impartial investigations into sales advisor conduct and analyze data to identify trends and risks. They are responsible for preparing investigation reports, monitoring corrective action plans, and communicating outcomes to stakeholders.

Exigences

Candidates must have at least 5 years of experience in a compliance investigative role within the financial services industry. A post-secondary education and a strong understanding of insurance products, regulations, and practices are required.

Avantages

• Health insurance • Dental benefits • Annual bonus • Pension plan • Employee savings plan • Paid time-off • Professional development • Wellness programs

Compétences indiquées

• Regulatory Compliance · Souhaitée
• Analyse de données · Souhaitée
• Communication · Souhaitée
• Conflict Resolution · Souhaitée

Autres compétences pertinentes

Relevées dans la description du poste. Confirmez les exigences importantes ci-dessus.

• Compliance investigation
• Data analysis
• Trend analysis
• Regulatory compliance
• Risk mitigation
• Communication
• Analytical skills
• Report writing
• Insurance regulations
• Financial services
• Conflict resolution
• Information management
• Continuous Development
• Time Off Management
• Bilingual (French/English)
• Risk Mitigation
• Information Gathering
• Analytical Skills
• Artificial Intelligence
• Annuities
• Mental Health
• Multilingualism
• Management
• Data Management
• Sales
• Financial Services
• Insurance Policies
• Remedial Action
• Securities (Finance)
• Investigation

Domaines d’emploi

• Finance & Accounting
• Legal
• Data & Analytics
• Management & Leadership
• Compliance Investigator
• Compliance Officer / Analyst
• Legal and Related Associate Professionals
• Compliance Officers