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About the Role
We are seeking a Senior Compliance and Licensing Specialist to provide dedicated compliance and risk management support with a primary focus on Employee Benefits & Retirement (EB&R), while supporting the Director, Licensing & Compliance on select national initiatives across other lines of business as required. This role involves developing and implementing corporate policies, ensuring licensing compliance across all Canadian jurisdictions, conducting regular licensing discrepancy audits, owning FINTRAC and AML/ATF reporting obligations, managing annual audits, and addressing regulatory matters including client complaints and advisor inquiries. The ideal candidate will collaborate with regional teams to standardize processes and uphold the highest standards of compliance across HUB Canadian operations. This is a contract position, anticipated to run for at least 6 months, with the possibility of extension based on business needs.
Responsibilities
- Maintain, communicate, and implement corporate policies for EB&R, and support related national policy initiatives across other lines of business as directed.
- Oversee the provincial renewal of the Designated Representative and Nominees for EB&R across all Canadian provinces, and support similar processes for other lines of business as needed.
- Provide guidance on licensing requirements, annual renewals, and reporting obligations across all 13 Canadian jurisdictions.
- Support regional entity amalgamations and related licensing processes as required.
- Create and maintain policies for Life/A&S and group Provincial licensing that can be leveraged across all regional offices; support P&C licensing initiatives as assigned.
- Serve as the designated owner of FINTRAC reporting obligations under the PCMLTFA, including suspicious transaction reports, large cash transaction reports, and ongoing monitoring requirements.
- Maintain the national AML/ATF compliance program, including recordkeeping, client identification, and risk assessment procedures across all lines of business.
- Coordinate sanctions screening processes in alignment with SEMA and the United Nations Act, and ensure escalation procedures are in place for potential matches.
- Deliver AML/ATF training and maintain training records to satisfy FINTRAC compliance program requirements.
- Collaborate with regional teams to identify and address licensing and compliance process gaps, with a primary focus on EB&R and supporting other lines of business as directed.
- Provide support and guidance on Life/A&S licensing and compliance-related matters; support P&C-related matters as assigned.
- Monitor regulatory change across all Canadian jurisdictions and assess operational impact ahead of implementation deadlines.
- Proactively and regularly connect with regional leaders and employees to build strong working relationships across the organization.
- Serve as the trusted business partner for regional offices on all EB&R compliance matters, providing responsive and practical guidance.
- Maintain an ongoing cadence of check-ins with regional stakeholders to stay close to local business needs and surface compliance considerations early.
- Conduct regular audits to identify licensing discrepancies and report findings to the Director, Licensing & Compliance.
- Maintain and oversee the existing annual audit process for advisors, including reviewing results and overseeing regional action plans to address findings.
- Review and revise audit procedures as necessary to address changing regulatory requirements.
- Own complaint intake, tracking, and categorization across all lines of business, including root cause analysis and trend reporting.
- Assist with resolving complaints to regional Councils and directly engage with Councils as needed.
- Prepare complaint metrics and trend reporting for national leadership in alignment with fair treatment of customers expectations.
- Offer ongoing compliance support and guidance to Designated Representatives and regions across all lines of business.
- Liaise with insurance councils and regulatory bodies as required.
- Maintain a national compliance risk register and issue log, tracking open items through to resolution.
- Prepare and deliver regular compliance dashboards and reporting to the Director, Licensing & Compliance and other national leadership as required.
Requirements
- 3+ years of experience in licensing, compliance, or risk management, ideally within the employee benefits, retirement, or broader insurance sector.
- Strong knowledge of Canadian regulatory frameworks, including provincial licensing, anti-money laundering (AML) regulations under FINTRAC and the PCMLTFA, sanctions obligations under SEMA and the UN Act, privacy laws (PIPEDA and provincial equivalents), and other related policies.
- Expertise in developing and implementing corporate policies and procedures across multiple lines of business.
- Proven ability to manage regulatory relationships and navigate compliance with councils and regulatory bodies.
- Strong communication and collaboration skills to work effectively with regional teams and executives.
- Detail-oriented with experience conducting audits and resolving compliance-related issues.
- Strong understanding of Life/A&S licensing requirements and best practices; familiarity with P&C licensing is an asset.
- Deep familiarity with the employee benefits and retirement industry.
Skills
- Privacy Policy and Procedures
- Complaints Procedure and Submission Policy
- Anti-Money Laundering (AML) & Anti-Terrorist Financing (ATF) Policy and Procedures
- FINTRAC reporting
- AML/ATF compliance program
- Sanctions screening
- AML/ATF training
- Life/A&S licensing
- P&C licensing
- Bilingualism (English/French)
Location
- Canada
Work Type
- Contract
- Full-time
Experience Level
- Senior
Education Level
- Bachelor's degree in Business Administration, Law, Risk Management, or a related field would be an asset.
Salary/Compensations
- $75,000 - $85,000
Benefits
- Extended health benefits
- Disability insurance
- RRSP matching
- Paid-time-off benefits
- Eligible bonuses
- Commissions for some positions
- Structured training
- Licensing support
- Ongoing development opportunities
- Competitive pay
- Comprehensive health benefits
- Retirement savings matching
- Company-paid life and disability plans
- Generous paid time off
- Paid parental leave
- Wellbeing program
About the Company
- HUB International is one of North America’s largest insurance brokers, delivering risk management, insurance, employee benefits, retirement and wealth management solutions to businesses and individuals across the United States and Canada — through locally led teams backed by national expertise, giving you the agility of a local partner and the reach of a global organization.
Equal Opportunity
- We endeavor to make this website accessible to any and all users. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact the recruiting team HUBRecruiting@hubinternational.com. This contact information is for accommodation requests only; do not use this contact information to inquire about the status of applications.