Compliance Specialist, Investigation

About Us

Let us introduce ourselves. With 300+ employees across Canada, ivari is a company that’s making a difference in the world of life insurance. How? By finding and hiring employees who are passionate about helping people protect their families, and by giving them the best, most supportive workplace possible.

Let us introduce ourselves. With 300+ employees across Canada, ivari is a company that’s making a difference in the world of life insurance. How? By finding and hiring employees who are passionate about helping people protect their families, and by giving them the best, most supportive workplace possible. ivari is part of Sagicor Financial Corporation, a leading financial services provider with over 185 years of history operating across the Caribbean, US, and Canada.

We offer a wide range of products and services, including life and health insurance, annuities, pension administration and investment services. At ivari, everyone is welcome! It is our mission to attract, develop, and retain a workforce that is as diverse as the customers we serve and the communities in which we do business. We offer an inclusive and accessible work environment where all employees and customers feel valued, respected, and supported.

The Compliance Specialist, Investigations is a new vacancy that will be responsible for supporting the Distribution Compliance program through conducting advisor investigations and data and trends analysis. You will ensure all assigned investigations are handled in a fair, transparent, objective, and factual manner in accordance with regulatory requirements, fair treatment obligations and ivari policies.

As a Compliance Specialist - Investigations, you will …

• Gather information and conduct impartial, independent, and objective investigations of sales advisors
• Develop and maintain a high level of expertise in regulations, directives and guidance which apply to ivari sales advisors
• Make recommendations for actions based on investigations
• Ensure effective and timely communications with stakeholders on investigations, including courses of action, outcomes, associated risks and recommendations
• Prepare investigation report or substantive response letters for each investigative matter
• Monitor advisors’ corrective and remedial action plans
• Assist in review of escalated complaints in accordance with fair treatment and regulatory obligations
• Provide a Final Position Letter to the complainants and/or regulators
• Monitor and analyze trends in sales advisor’s conduct to recommend proactive measures for risk mitigation strategies to management

• Post‑secondary education that would align with the position
• Minimum 5 years’ experience in a compliance investigative role in the financial services industry at a bank, insurance company, or securities firm
• Sound understanding of insurance activities, products, and practices
• Strong verbal and written communication skills
• Strong analytical skills to make rational and logical deductions at times with limited information
• Ability to gather, analyze, organize, document and present large volumes of information in a succinct and organized manner.
• Current knowledge of regulations including relevant insurance policies and regulatory notices, applicable provincial and territorial rules, and regulations
• Financial services industry association memberships are an asset
• Bilingual in English and French (verbal and written) is an asset
• Technical knowledge and skill/ability with information and data management related tools

Pay Range: $70,000 - $90,000

At ivari, it's important for us to keep our people motivated, recognized and rewarded. We offer competitive base salaries plus a bonus, one of the…