Description et exigences de la tâche
Reporting to the EVP, Legal, the Compliance & Market Conduct Advisor works with the Director, Compliance and Market Conduct and Director, Legal & Associate General Counsel and Executive Vice President, Legal to proactively lead compliance related initiatives and respond to regulatory compliance needs and as required, market conduct investigations for the organization.
Compliance and Licensing Matters
- Monitoring that appropriate licenses are held by distribution partners and internal staff when applicable.
- Working with the development team on enhancements to develop controls and tighten oversight of data integrity and accuracy.
- Facilitating and coordinating the implementation of corporate, industry, provincial and federal policies and regulations.
- Liaising with the provincial regulators.
- Identifying and recommending improvement to processes pertaining to compliance activities.
- Promoting the fair treatment of customers throughout the line of business.
- Supporting the completion and submission of forms related to LGM’s business and insurance licenses and any other administrative task required by the company.
- Conducting objective compliance investigations as directed and supervised by the Director, Compliance and Market Conduct.
- Completion of draft insurance license applications, both corporate and individual.
Dealer Quality Assurance Reviews
- Under the supervision of the Director, Compliance and Market Conduct, verify and supervise the offering of insurance products by LGM distributors in the province of Quebec.
- According to predefined checklists and using template forms, all according to standard operating procedures, conducts supervisory audits to assess product knowledge, compliance with laws and regulations, and fair treatment of customers.
Administrative Support for Legal Matters
- Draft legal correspondence and perform general administrative tasks as directed.
- Draft revisions to legal agreements as directed and supervised by the VP, Legal and Associate General Counsel.
Education/Qualifications
- Minimum 4 years of experience in Compliance related activities
- Fluently Bilingual in English and French with an ability to translate
- General and/or life Insurance license – an asset
- Knowledge and understanding of the Automotive Dealership Finance & Sales office an asset
- Relationship with provincial regulators is an asset
Core Competencies
- Strong analytical and problem-solving skills
- Ability to work independently
- Diplomacy in verbal and written communications with internal and external stakeholders
- Ability to detect and resolve compliance related issues
Required Skills
· Able to critically evaluate facts and conflicting information, identify risks and propose mitigation strategies.
· Ability to effectively prioritize competing tasks in line with the organization’s strategic business objectives and to adjust priorities according to changing business needs.
· Well-developed critical thinking, analysis and problem-solving skills.
· Ability to interpret and apply corporate policies, legislation, regulations and other documentation.
· Strong moral compass and ability to articulate matters of importance with diplomacy.
· Ability to self-direct work and work effectively in a group.
· Familiarity with insurance license application forms and processes.
· Familiarity with legal documents and drafting processes.
Desirable Skills
· In-depth knowledge of the dealership insurance sales process
· Good knowledge of the market and of the FSM role
· Knowledge of products distributed by LGM financial services would be an asset
The Perks:
· We offer a highly competitive compensation package including comprehensive health benefits plan, Group RRSP, performance bonus, health and wellness benefit, education sponsorship, and four paid days when “giving back” to the community. We also offer your birthday off and a vehicle rebate program of up to $400 per month.
· This is a hybrid role with 1 day a week required in office.
Come join us!
