Bilingual Compliance Investigator (Fr/En)
Canada Life
- London, ON Montreal, QC
- $54,300 per year
- Permanent
- Full-time
- 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 large volumes of documentation in policy/account files to identify the information relevant to the case
- Liaise with internal stakeholders, including our Legal department, to determine resolution options
- Draft comprehensive decision letters to customers advising of the outcome of the review within regulator imposed or company recommended time frames
- Report the outcome of complaint reviews to senior management and other key internal and external stakeholders (i.e. Regulators, professional liability insurers, etc.)
- Respond to requests and inquiries for information from all Regulators (including provincial insurance regulators and the Canadian Investment Regulatory Organization)
- Respond to and diffuse media and litigation threats in respect of customer complaints
- Provide support to the law department on litigation matters
- Plan and execute special projects to enhance the effectiveness and capabilities of the Market Conduct Investigations team
- A post-secondary degree, plus experience and knowledge of the legal, compliance, financial, and/or insurance industries
- Mutual fund and/or securities knowledge, which may be 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
- Demonstrated knowledge and experience resolving complaints and/or conflicts
- A strong understanding of privacy obligations and regulatory requirements involving life insurance, mutual fund, and/or securities products
- Ability to:
- Speak and write using plain, clear, and concise language, demonstrating excellent communication skills
- Listen attentively, and be comfortable and adept speaking with uncooperative or frustrated parties
- Influence and persuade others by applying excellent interpersonal skills
- Exercise good judgment and make pragmatic decisions
- Think critically to identify key issues and solve problems
- Work independently and proactively
- Organize time and prioritize workload effectively
- Analyze large volumes of information and summarize it in short, succinct communications tailored to the applicable audience
- Ensure close attention to detail to complete high quality, accurate work product
- Fluency in French