Investigator Market Conduct

London, ON
$52,800-97,700 per year
Permanent
Full-time

17 hours ago

Permanent Full Time-Role description:We are looking for an Investigator to join the Market Conduct Investigations team and work closely with internal business partners to help ensure the suitability of our company's financial advisors and their activities. Our consumers, regulators, and shareholders expect us to have robust policies and procedures to handle any allegations of financial advisor misconduct or negligence. This role will help build confidence in our ability to investigate complaints and concerns about our advisors effectively, efficiently and fairly.In this role, you'll be joining a dedicated and collaborative team where you are challenged to make a difference to the company and its customers. You'll be required to effectively solve ongoing problems and be a strong communicator while meeting regulatory requirements and aligning with our company's values and goals. If you are looking to apply your financial industry knowledge in a fast-paced and agile environment, this opportunity is for you!What you will do:

Review customer complaints alleging misconduct and negligence by financial advisors and/or mutual fund representatives.
Interview customers and advisors by telephone to obtain complaint details and transaction history.
Promptly review and analyze documentation in policy/account files to identify the information relevant to the case.
Liaise with internal stakeholders (Product, Distribution, Legal) to determine resolution options.
Draft comprehensive decision letters to customers explaining the outcome of the review within regulator imposed or company recommended time frames.
Respond to requests and inquiries for information from all Regulators (including provincial insurance regulators and the Canadian Investment Regulatory Organization).
Support execution of special projects to enhance the effectiveness and capabilities of the Market Conduct Investigations team.

What you will bring:

A post-secondary degree, plus experience and knowledge of the legal, compliance, financial, and/or insurance industries.
Mutual fund and/or securities knowledge is an asset, demonstrated by successful completion of relevant financial industry courses such as the Canadian Investment Funds Course, Branch Manager's Examination Course and/or the Canadian Securities Course. The successful candidate will be required to complete these courses upon starting the role if they do not already have these designations.
Demonstrated knowledge and experience resolving complaints and/or conflicts where experience handling customer service issues is an asset.
A strong understanding of privacy obligations and regulatory requirements involving life insurance, mutual fund, and/or securities products.
Fluency in French and/or Mandarin is an asset.

-The base salary for this position is between $52,800 - $ 97,700 annually. This represents base salary only and does not represent other variable compensation components of our total compensation ( i.e. annual bonus, commission etc). If you are selected to move forward in our recruitment process, your recruiter will be able to discuss additional details of our total rewards program with you.Career opportunities will be open a minimum of 5 business days from the date of posting, closing dates will vary depending on the search activity. All applications received will be reviewed on a rolling basis.Be your best at Canada Life- Apply today!Being a part of Canada Life means you have a voice. This is a place where your unique background, perspectives and talents are valued, and shape our future success.You can be your best here. You're part of a diverse and inclusive workplace where your career and well-being are championed. You'll have the opportunity to excel in your way, finding new and better ways to deliver exceptional customer and advisor experiences.Together, as part of a great team, you'll deliver on our shared purpose to improve the well-being of Canadians. It's our driving force. Become part of a strong and successful company that's trusted by millions of Canadians to do the right thing.Canada Life serves the financial security needs of more than 13 million people across Canada, with additional operations in Europe and the United States. As members of the Power Financial Corporation group of companies, we're one of Canada's leading insurers with interests in life insurance, health insurance, investment and retirement savings. We offer a broad portfolio of financial and benefit plan solutions for individuals, families, businesses and organizations.We are committed to providing an inclusive, accessible environment, where all employees and customers feel valued, respected and supported. We are dedicated to building a workforce that reflects the diversity of the communities in which we live, and to creating an environment where every employee has the opportunity to reach their potential.It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will work with applicants who request a reasonable accommodation during the application process. All information shared during the accommodation request process will be stored and used in a manner that is consistent with applicable laws and Canada Life policies. To request a reasonable accommodation in the application process, contact talentacquisitioncanada@canadalife.com.Canada Life would like to thank all applicants, however only those who qualify for an interview will be contacted.#LI-HybridRequisition ID: 4223Category: Corporate FunctionsLocation:London, ON, CA Montreal, Quebec, CADate: Sep 3, 2025If you are not finding suitable opportunities now, please click below to join our talent community!

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