Senior Compliance Officer
Core
Oversees conduct and business practices of insurance Advisors directly contracted with Assante Estate and Insurance Services Inc., providing compliance oversight for life insurance and segregated fund business.
Role type
Senior Compliance Officer (Insurance)
Builds
Compliance oversight and risk mitigation for insurance advisors and firm practices.
Domain
Insurance / Financial Services
Required skills
Regulatory research, policy development, team mentorship, risk identification, advisor screening, regulatory monitoring, sales communication review
Preferred skills
French language proficiency, post-secondary degree in business/accounting/law, LLQP certification
Technologies
None stated
Responsibilities
Coach and mentor Compliance team members on market conduct and Advisor suitability matters; Serve as escalation point for Advisor and firm practice reviews; Develop and audit policies aligning with ethical standards and regulatory requirements; Promote Advisor awareness of legal obligations through education; Identify regulatory vulnerabilities and develop mitigation controls; Provide compliance guidance to internal departments; Participate in risk management, AML, and privacy projects; Support carrier compliance reviews and Advisor practice reviews; Screen prospective Advisors and monitor ongoing suitability; Ensure current knowledge of provincial regulatory requirements; Review sales communications before circulation.
Seniority
Senior, hands-on IC