Manager, Market Conduct Investigations

Permanent Full Time

Do you want to join a supportive and collaborative team, take on new challenges, and make a difference to the company and its customers?

Market Conduct Investigations is looking for a Manager to join its team to help protect the company’s integrity and customer livelihoods by reviewing and resolving allegations of negligence and inappropriate conduct by financial advisors.

Reporting to the Director, the Manager will lead a team of investigators and play a key role in overseeing customer complaints, developing investigative plans, coaching the investigators, and helping to influence stakeholders in cases of utmost sensitivity when the stakes are high and there are competing priorities.

What You Will Do

• Lead, mentor and develop a high performing team of investigators who handle customer complaints involving allegations of negligence and misconduct about financial advisors and mutual fund representatives
• Working closely with the Director, contribute to the development of policies and procedures for the investigations for both insurance products and mutual fund accounts
• Report the outcome of customer complaints and investigations to senior management, including the Global and Canadian Chief Compliance Officers and other key internal and external stakeholders (i.e., Regulators, professional liability insurers, etc.)
• Liaise with and provide oversight on responses 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
• Promote collaboration and lead by example when consulting with multiple internal stakeholders to determine resolution options
• Ensure team prepares comprehensive decision letters to customers advising of outcomes within regulator imposed or company recommended time limits
• Review team’s draft reports and correspondence with a keen eye for detail, ensuring the work is tailored to the audience, and written in plain, clear, and concise language
• Plan and execute special projects to enhance the effectiveness and capabilities of the Market Conduct Investigations team
  
  

What You Will Bring

• Post-secondary degree, plus experience in and knowledge of the legal, compliance, and/or financial industry
• 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 customer complaints and/or conflicts using solution-oriented business and compliance judgement
• Strong understanding of the regulations and policies governing the insurance, mutual fund, and securities industries
• Proven record of leadership of a team of professionals with the ability to persuade and engage
• Excellent verbal and written communication skills required to present value added options to partners, stakeholders, and senior officers
• Strong collaboration, organizational and analytical skills with the ability to manage conflicting priorities and a fast-paced environment
• Proven negotiating, problem-solving, and decision-making skills
• Fluency in French or Mandarin is an asset
  
  

The base salary for this position is between $78,600 - $131,000 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 [email protected].

Canada Life would like to thank all applicants, however only those who qualify for an interview will be contacted.