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Manager, Market Conduct Quebec
This role is critical to our commitment to comply with legal obligations in Quebec, and to provide further education and enhance support of our Distribution partners, in all three Distribution channels.
The Manager, Market Conduct Quebec plays a key role in ensuring that market conduct compliance policies, procedures and processes in Quebec reflect the unique regulatory environment in Quebec. The Manager will also provide a Quebec perspective on all Market Conduct issues and initiatives. Training and support of Distribution’s management team, oversight of various monitoring processes and liaising with regulators are key components of this role.
Monitor and interpret legislation, regulation and industry guidelines, making meaning of changes as applicable. Work with staff and business partners, including Distribution leaders, in communicating changes to legislation in an appropriate and meaningful fashion and overseeing implementation of any change.
Serve as a consultant on issues relating to compliance requirements. Assist in the development of solutions to address compliance/market conduct related concerns and requirements (for example, action plans, policies and procedures, processes and tools).
Ownership of all Quebec Market Conduct policies, guidelines and processes, including overseeing maintenance of these documents, working directly with Distribution, Legal and Corporate Compliance when updates or changes are required
Consults with advisors, firms and MGAs on market conduct/compliance issues and practices.
Conduct Market Conduct training initiatives and presentations for Advisor, Distribution management and business partners (i.e., MGA’s, advisor firms).
Ownership of Quebec Systematic audit of client file review process. This responsibility includes overseeing maintenance of this process, ensuring efficient and effective implementation and working in partnership with Distribution on disciplinary aspects of the process.
Responsible for ongoing promotion and maintenance of Anti-money laundering/Anti-terrorist financing program for all distribution channels
Responsible for Market Conduct Self-assessment program, all distribution channels
Qualifications and Competencies:
· Must be fluent in English and French
· Excellent communication skills, both verbal and written, with an emphasis on negotiation skills, public speaking and presentation skills
· In depth knowledge of the applicable laws in Quebec, as well as legislation and issues that affect the rest of the country
· Leadership skills required to effectively supervise and coach staff of 5, job grades ranging from 9 to 12.
· High level of knowledge of our products, sales processes and operations as well as sales tools
· Exceptional relationship building skills
· Effective organizational and time management skills
Take the next step without delay! E-mail your resume at email@example.com . Kindly indicate the job posting reference number CORP 04 on the subject line.
We offer a challenging, team focused work environment, competitive income and benefits, and opportunities for professional and personal growth.
We are committed to employing a diverse workforce and encourage all qualified individuals to apply. We will contact you if you are selected for an interview.