Branch Examiner - 100 Remote
Branch Examiner - 100 Remote
Posted on :
19-10-2024
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1 Vacancy
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Job Description
Branch Examiner Remote
We are seeking two skilled professionals to support our client in the insurance industry by working on their Market Conduct Audit (MCA) program. These positions offer the opportunity to engage with multiple distribution channels enhance compliance expertise and contribute to a significant regulatory project.
What is in it for you:
Hourly salary of $31.
12month contract with the potential for extension.
Fulltime position: 37.50 hours per week.
Work schedule from 9 am to 5 pm
Enjoy the flexibility of remote work.
Opportunity to work in a dynamic and professional environment.
Join a passionate and inclusive team of professionals.
Responsibilities:
Assist in executing Market Conduct Audits including advisor interviews desk file audits and site visits ensuring adherence to mutual fund and life/health insurance regulations
Conduct preaudit data collection and analysis
Review and help resolve outstanding audit findings in collaboration with District Managers Compliance Best Practice Consultants and financial advisors
Support the maintenance and continuous improvement of the Market Conduct Audit program
Manage the centralized team mailbox addressing compliancerelated inquiries
Collaborate with stakeholders to build and finalize action plans ensuring timely submission of evidence to close regulatory findings
Utilize Microsoft SharePoint Excel and Salesforce for data management and collaboration
What you will need to succeed:
University or college degree in accounting business or compliance is an asset.
Completion of IFIC and LLQP courses is an asset.
13 years of experience in mutual fund compliance or supervision.
Experience supporting compliance audits or testing.
Expected to complete the Branch Managers Course within the first three months of hiring.
Knowledge of MFDA policies securities and insurance laws and regulations.
Familiarity with industry compliance standards and practices particularly within insurance distribution systems.
Good understanding of life health and wealth product lines.
Knowledge of advisor commission arrangements contracts and business practices is an asset.
Strong research analytical and problemsolving skills.
Excellent interpersonal communication and negotiation skills.
Exceptional organizational skills and attention to detail.
Proficiency with Microsoft Excel Access Univeris and Salesforce.
Ability to work independently with virtual teams and stakeholders.
High degree of integrity and ethics with a positive attitude.
Why Recruit Action
Recruit Action (agency permit: AP2000003) provides recruitment services through quality support and a personalized approach to job seekers and businesses. Only candidates who match hiring criteria will be contacted.
# SLFJP
Employment Type
Full Time
Key Skills
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