Sr Compliance Analyst - WFG Canada
Responsibilities:
Advertising Compliance:
Monitor and analyze agent commentary and informal advertisements on public-facing websites, particularly LinkedIn, to ensure adherence to compliance guidelines.
Review and assess all advertising materials and public-facing information related to the company’s products.
Utilize surveillance platforms such as Eagle Eye and Red Oak for formal advertising to ensure compliance with regulatory standards.
Work collaboratively with marketing and legal teams to address any compliance issues related to advertising.
Audit Participation:
Assist in preparation for compliance audits/inspections by gathering necessary prework documents and conducting thorough reviews prior to the actual audit.
Request and review electronic files and hard copies of relevant documents to ensure they meet compliance standards.
Conduct interviews with agents and representatives to gather insights and information for audit purposes.
Prepare comprehensive final reports summarizing findings, action items, and providing actionable recommendations for improvement.
Customer Complaint Investigation:
Lead investigations into customer complaints from initiation to resolution, ensuring a thorough and unbiased examination of each case.
Gather information from all relevant parties, including customers, agents, and other departments to construct a fair analysis.
Document findings and create detailed reports outlining the investigation process, results, and recommendations for future actions.
Collaborate with management to address complaints and implement corrective measures as needed.
Qualifications
Post-Secondary education or equivalent experience.
Successful completion or in the process of completing the Investment Funds of Canada Course (IFIC) or Canadian Securities Course (CSC).
Frequent use and general knowledge of industry practices, techniques and standards.
Ability to coordinate and prioritize multiple projects in a fast paced environment.
Attention to detail and accuracy.
Organizational and communication skills.
Results driven and customer focused.
Proficient with Microsoft Office Suite and Adobe.
Preferred Qualifications
Five years of experience in the financial industry.
Experience in an Advisor facing compliance or related role.
Canadian Health and Work/Life Balance Benefits:
Competitive Paid Time Off
Ten (10) paid holidays per year
Ten (10) sick days per year
Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
Parental Leave
Adoption Assistance
Employee Assistance Program
College Coach Program
Employee Resource Groups
Inclusion and Diversity Programs
Employee Recognition Program
Referral Bonus Programs
Peer Recognition Program (BRAVO)
United States Only Benefits Below:
This job description is not a contract of employment nor for any specific job responsibilities. Managers may assign other duties and responsibilities as needed. In the event an employee or applicant requests or requires an accommodation in order to perform job functions, the applicable HR Business Partner should be contacted to evaluate the accommodation request.