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About the Role
The Market Conduct Consultant monitors, analyzes, and reports on distribution partner conduct for compliance with regulatory and company-based rules, working under the general supervision of the Director, Market Conduct & Compliance.
Responsibilities
- Act as a subject matter expert and collaborate with business unit management to ensure market conduct practices and procedures are compliant with legislative requirements
- Ensure management is kept aware of key issues regarding the suitability of distribution partners to represent Empire Life in the market
- Support and contribute to improvements in screening, monitoring, and training for distribution partners
- Complete market conduct reviews including investigating, analyzing, communicating with distribution partners and documenting results of reviews
- Make recommendations to management regarding suitability of distribution partners to represent Empire Life
- Monitor and provide regular reporting on market conduct activity
- Alert management to negative trends or issues in market conduct and/or advisor activity
- Educate operations and sales teams on the importance of enhanced monitoring thereby minimizing exposure to reputational risk and financial loss through complaints and advisors that are non-compliant and/or engage in unacceptable conduct
- Report distribution partner’s misconduct to regulators and address all demands from regulators
- Develop market conduct processes and procedures as required
- Coordinate regular market conduct committee meetings to review activities and issues, as well as quality of the service provided
- Completion of complex investigations
- Monitor and advise management of regulatory initiatives related to advisor market conduct
- Other projects and initiatives that may be assigned
Requirements
- 5+ years’ work experience in life insurance, marketing or customer service and/or compliance
- Good working knowledge of word processing, spreadsheet and database computer software
- Knowledge of regulatory, compliance and/or legal environment
- Strong understanding of business operations and compliance
- Ability to work independently or as part of a team
- Ability to develop and maintain effective working relationships
- Ability to prioritize and balance multiple tasks or projects
- High degree of tact and diplomacy and the ability to handle confidential information
- English language proficiency is required for communicating with customers, advisors, or employees across Canada
Skills
- FLMI is an asset
- Bilingualism is an asset
- Well-developed investigative, analytical and problem-solving skills
- Well-developed communication, negotiation, persuasion and/or presentation skills
Location
- Hybrid - (Kingston, Toronto or Montreal)
Work Type
- Hybrid work model
- Permanent full-time positions
Experience Level
- 5+ years’ work experience
Education Level
- Completion of a university degree
Salary/Compensations
- $92,960- $142,960
Benefits
- Competitive salaries with annual pay increases
- Annual bonus program, which recognizes both strong company performance and individual contributions, for non sales positions
- Access to learning & development programs, and education/tuition reimbursement (role dependent), to support your professional growth and career advancement
- Competitive uncapped commission, for sales positions
- A comprehensive employer-funded benefits package starting from day one of employment, that includes life insurance, health and dental and a generous health account
- Flexible work arrangements and an annual allotment of personal health days
- Four weeks annual vacation from hire date
- A defined contribution pension plan with generous employer matching
- Top up programs for parental leave and compassionate leave
- Employer-sponsored wellness and recognition programs
- A cash employee referral program
About the Company
- Empire Life is looking to hire a Market Conduct Consultant to join our Compliance team!
- To learn more about working at Empire Life, visit https://www.empire.ca/workatempire
- Empire life is proud to be an equal opportunity employer.
- We celebrate diversity, are committed to creating an inclusive environment, and welcome everyone to participate in our application process.
- We encourage those of all backgrounds and experiences to apply, even if you don't believe you meet each unique qualification outlined.
- Empire Life is proud to be an equal opportunity employer, dedicated to building an inclusive and barrier-free workplace.
- We welcome applications from people with disabilities and are committed to providing accommodations at any stage of the recruitment process.
- If you require a specific adjustment to help you present your best self, please let us know—we are happy to work with you.
- If you need this job posting in an alternative format or have any accessibility questions, please contact recruitment@empire.ca
Equal Opportunity
- Applicants will receive equal consideration without regard to race, color, religion, gender, gender identity or expression, sexual orientation, national origin, disability, or age.