Market Conduct & Advisor Compliance Specialist

Market Conduct & Advisor Compliance Specialist page is loaded## Market Conduct & Advisor Compliance Specialist remote type:
Hybrid Working locations:
Woodbridge, ONtime type:
Full time posted on:
Publié aujourd'huijob requisition :
R0033503
** Market Conduct & Advisor Compliance (Hybrid)
*** Hub Financial - Insurance Compliance  Woodbridge, ON
* Hub Financial, a division of HUB International, is one of Canada’s largest independent Managing General Agencies (MGA). Specializing in life insurance, investments, and wealth management, we provide independent financial advisors with a wide range of products, resources, and tools to help their business succeed. Our services include access to top-tier insurance solutions, cutting-edge technology platforms, and operational support all designed to streamline business processes and improve client outcomes.

At Hub Financial we empower independent advisors to grow their practices, enhance their client service, and deliver comprehensive financial solutions.
** About

The Role
** We are seeking a motivated professional who thrives in a fast paced environment and is comfortable managing multiple priorities with strong attention to detail. This role plays a key part in supporting Advisor compliance within the Insurance division, ensuring adherence to regulatory expectations, internal policies, and best practices. The individual will contribute to compliance oversight through monitoring suitability, analyzing data, identifying trends, and assisting with audits and ongoing project work.
** What You’ll Do**
* ** Broker/Advisor Suitability:
** Review broker accounts and escalate areas of concern relating to financial instability, incomplete or expired compliance documents, regulatory enforcement, conduct activities and sales trending.  Assess, document and escalate any action required relating to credit, conduct or compliance issues based on facts gathered from Insurance Councils, Insurer Head Offices or other information obtained by HUB.
* ** Market Conduct Concerns:
** Coordinate the successful completion of all market conduct concerns identified through the collection of data, assessment and follow ups.  Liaise with Insurer Head Office Compliance contacts to ensure resolution of all broker conduct issues identified.
* ** Broker/Advisor Monitoring:
** Report preparation and data analysis pertaining to HUB monitoring processes and trending reviews for insurance and related investment activities.  Maintain internal reporting of information collected and issues that are escalated.
* ** Broker/Advisor Audit:
** Collaborate with Insurers in advisor audits to ensure compliance with industry responsibilities and appropriate record keeping in client files.  Conduct random review of advisor compliance with licensee responsibilities and record keeping in client files.
* Analyse data pertaining to the review of Brokers on ‘Watch’ and prepare reports of observations along with recommendations pertaining to continued suitability
* ** Project Management:
** Assist with and coordinate project work as assigned.
** What You’ll Need for Success
*** Excellent working knowledge of Microsoft Office (excel, outlook, word & power point)
* Demonstrated ability to communicate (written and verbal) effectively
* Detail oriented and good organizational skills
* Ability to apply common sense thinking
* Strong sense of confidentiality
* Three or more years’ experience with life insurance administration in an Insurer or Managing General Agency environment
* Background in broker contracting and related compliance requirements and regulations
* Experience with Wealth Serv, APEXA or other industry back-office systems is an asset
* College Diploma or other post-secondary education or equivalency
* Good project management skills
* Bilingual in French and English is an asset

Your well-being is our priority, and we back this up with a wealth of benefits:
* ** Competitive Compensation:
** Benefit from a pay structure that includes incentives, bonuses, and opportunities to increase your earnings.
* ** Work-Life Balance:
** Enjoy flexible work arrangements and generous time off to support your personal and professional life.
* ** Tailored…