Insurance Compliance Specialist

Insurance Compliance Specialist

Location: Hybrid within Atlantic Canada

At CU Financial Management, we are committed to delivering exceptional financial planning services that empower individuals, families, and businesses to achieve their financial goals. As industry leaders, we leverage cutting‑edge technology to provide comprehensive financial planning solutions to clients across the region. Our dedication to client success and financial planning excellence sets us apart, and we take pride in the impact we make on our clients' financial well‑being.

We’re invested in Atlantic Canada. We live here, we work here, and we know that when our clients are successful, our communities thrive.

About us

In 2020, a group of innovative Atlantic Canadian credit unions came together to ensure their members had access to top‑tier financial advice. They brought together professional advisors from across the region to build an organization grounded in the values that their members know and trust. Today, CU Financial Management supports members and non‑members, providing expert advice across our four provinces.

We offer a competitive compensation package, including a competitive salary, performance‑based bonuses, comprehensive benefits, administrative support, and opportunities for professional growth and development. Our commitment to employee well‑being includes a supportive, flexible work environment, continuous learning, and the opportunity to make a meaningful impact on our clients' financial lives.

We are honoured to have been named one of Atlantic Canada's Best Places to Work in 2024 and 2026 by Atlantic Business Magazine and to have been recognized as a Top Employer in 2024 by Wealth Professional Canada.

The Role

The Insurance Compliance Specialist is a non‑sales support role responsible for providing centralized oversight, administration, and compliance support for CU Financial Management’s insurance business.

This position will serve as the primary internal resource for insurance‑related matters across the organization, providing support to Advisors and Investment Associates while ensuring insurance activities are administered in accordance with regulatory requirements, carrier expectations, and CU Financial Management policies and procedures.

The Specialist will assume responsibility for the coordination and administration of CU Financial Management’s existing segregated fund business, insurance renewals, licensing and contracting requirements, advisor onboarding, APEXA administration, and insurance‑related Anti‑Money Laundering and Anti‑Terrorist Financing (AML/ATF) controls.

The role also provides an important internal review and quality assurance function by reviewing insurance files and processes to identify documentation gaps, compliance concerns, and follow‑up needs.

The Insurance Compliance Specialist supports CU Financial Management’s Advisors and Associates and provides organizational oversight without assuming responsibility for providing insurance advice or generating new sales.

Key Responsibilities

• Serve as CU Financial Management’s primary internal resource for insurance administration, compliance and operational support, providing centralized support to Advisors and Investment Associates.
• Manage the administration and servicing of CU Financial Management’s existing segregated fund business, including ongoing documentation and compliance requirements.
• Coordinate post‑delivery servicing requirements for all in‑force insurance and segregated funds.
• Conduct insurance file reviews and internal compliance audits to identify documentation gaps, deficiencies and potential compliance concerns, and coordinate appropriate follow‑up.
• Coordinate the onboarding, licensing and contracting of new…