Bilingual; Fr​/En Investigator Market Conduct

Role description

Do you want to join a supportive and collaborative team, take on new challenges, and make a difference to the company and its customers? Are you a problem solver with excellent communication skills? Are you looking to apply your financial industry knowledge in a fast‑paced and agile environment? If so, this opportunity is for you! Market Conduct Investigations is looking for a bilingual Investigator to join its team to help protect the company’s integrity and customer livelihoods by reviewing and resolving allegations of negligence and inappropriate conduct by financial advisors.

• Review customer complaints alleging misconduct and negligence by financial advisors and/or mutual fund representatives
• Interview customers and advisors by telephone to obtain complaint details and transaction history
• Promptly review and analyze large volumes of documentation in policy/account files to identify the information relevant to the case
• Liaise with internal stakeholders, including our Legal department, to determine resolution options
• Draft comprehensive decision letters to customers advising of the outcome of the review within regulator imposed or company recommended time frames
• Report the outcome of complaint reviews to senior management and other key internal and external stakeholders (i.e. Regulators, professional liability insurers, etc.)
• Respond to requests and inquiries for information from all Regulators (including provincial insurance regulators and the Canadian Investment Regulatory Organization)

• Bilingualism (fluent in French and English) required, as the position will regularly serve our clients with English and French‑speaking need
• A post‑secondary degree, plus experience and knowledge of the legal, compliance, financial, and/or insurance industries
• Mutual fund and/or securities knowledge, which may be demonstrated by successful completion of relevant financial industry courses such as the Canadian Investment Funds Course, Branch Manager’s Examination Course and/or the Canadian Securities Course
• Demonstrated knowledge and experience resolving complaints and/or conflicts
• A strong understanding of privacy obligations and regulatory requirements involving life insurance, mutual fund, and/or securities products
• Ability to:
  • Speak and write using plain, clear, and concise language, demonstrating excellent communication skills
  • Listen attentively, and be comfortable and adept speaking with uncooperative or frustrated parties
  • Influence and persuade others by applying excellent interpersonal skills
  • Exercise good judgment and make pragmatic decisions
  • Think critically to identify key issues and solve problems
  • Work independently and proactively
  • Organize time and prioritize workload effectively
  • Analyze large volumes of information and summarize it in short, succinct communications tailored to the applicable audience
  • Ensure close attention to detail to complete high quality, accurate work product

Given the size and scope of our organization, we have the flexibility for this position to be located in the following head office locations:
London or Montreal.

The base salary for this position is between $58,600 - $102,700 annually. This represents base salary only and does not represent other variable compensation components of our total compensation (i.e. annual bonus, commission etc). If you are selected to move forward in our recruitment process, your recruiter will be able to discuss additional details of our total rewards program with you.