The Opportunity
The primary focus of this role is the handling of complaints. In addition, the Compliance Officer provides guidance to inquiries on issues surrounding the responsibilities of licensees, in addition to identifying trends that may have an impact on Council's operations.
Duties and Responsibilities
- Review complaints against licensees or former licensees to determine whether the matter is within Council's jurisdiction, identify non-compliance with requirements and potential risks to the public which require investigation.
- Review, research and respond both verbally and in writing to inquiries.
- Identify precedents.
- Draft and issue reminder and best practice letters where conduct concerns are identified but can be addressed remedially.
- Draft and issue closing letters and other correspondence to complainants and licensees.
- Conduct investigations related to breaches of Continuing Education and Errors and Omissions requirements.
- Research other regulators websites for disciplinary actions taken against licensees.
- Prepare and present reports and letters for consideration by a Review Committee and/or Voting Council.
- Document meetings or interactions with Licensees, Complainants or other witnesses as required.
- Assist the public in resolving complaints or concerns with licensees by providing information and direction where possible.
- Prepare both external and internal written communications as required.
- Liaise with other departments and external stakeholders as required.
- Identify emerging trends and work with the Manager, Compliance to develop recommended courses of action.
- Remain current on industry issues, legislation, practices and regulation.
- Assist the Manager, Compliance as required.
- Handle other duties as assigned.
Qualifications and Experience
- Minimum 3 years of experience in a regulatory, financial services or related field.
- Post-secondary education, such as a university degree in a related field like Business Administration, or equivalent experience.
- Insurance or financial services certification, such as CIP, CAIB, CLU, CFP, is an asset.
- Computer skills, having proficiency with the Microsoft Office suite, specifically with word processing and excel
- Conflict resolution skills.
- Excellent oral and written communication skills.
- Demonstrated analytical and judgement skills.
- Ability to handle a large volume of varied work and deal with several concurrent tasks.
- Ability to interpret and apply legislation and policies to differing situations.
Hiring Range: $85,000 - $90,000 per annum.
Placement within this range will be determined according to the candidate's relevant experience, qualifications, and demonstrated competencies.
