Advisor Compliance and Business Practices Specialist
Hybrid · Canada
Core
Monitor advisor suitability and compliance for the Insurance division, including broker accounts, data analysis, and audits.
Role type
Compliance Specialist (Insurance)
Builds
Compliance reports, suitability assessments, and audit documentation for independent financial advisors.
Domain
Insurance / Financial Services
Deliverable
dashboards & analysis
Required skills
Data analysis, Microsoft Office proficiency, project management, regulatory knowledge, record keeping
Preferred skills
WealthServ/APEXA experience, bilingualism (French/English)
Responsibilities
Review broker accounts for financial instability or compliance issues; prepare data analysis and trending reports; conduct random reviews of advisor compliance and record keeping; collaborate with insurers on audits; coordinate project work.
Seniority
Mid-level, hands-on IC