Bilingual Field Investigator

We are looking for a bilingual Field Investigator to join our Field Management Department.

Responsibilities:

• Research, investigate and respond to inquiries/complaints from consumers, representatives, regulatory bodies (Mutual Fund/Insurance), and other business units that are escalated to Field Management (“FM”)
• Follow-up with recruits, representatives, RVP/Branch Managers, internal departments and/or strategic partners (AGF, Edge, etc.) when additional information is required
• Prepare a summary for Management outlining their reviews, findings, observations, and recommendations for remediation and reporting obligations, if any
• Prepare memos for reporting purposes (i.e., NRD, New SRO METS/AMF and/or Provincial Regulatory Authority)
• Assist as the back-up as it relates to Quebec Independent Business Applications (“IBA”), Provincial Life Insurance Applications, Form 4’s and ongoing material changes that are referred to FM and escalate to Management if required
• Where files, IBAs, Provincial applications, and Form 4s are escalated to FM for further review and handling, address inconsistencies, identify potential regulatory and/or corporate risks or trends and address and/or escalate associated issues to Management
• Provide guidance to representatives on various company policies, compliance requirements, and best practices
• Participate in the development of ongoing education and training program/materials for representatives
• Assist with internal and external regulatory audits and/or inquiries
• Liaison between the representatives/company and regulatory authorities
• Other duties as assigned

Qualifications:

• Post-secondary education or equivalent knowledge and skills acquired through related work experience
• High proficiency in written and verbal communications in French and English
• Completion of the IFSE Mutual Funds course is a requirement within the first 6 months of the hire date
• Must have or willing to complete the LLQP (Quebec specific)
• Strong knowledge of regulatory requirements related to the business of individual insurance and mutual funds products
• Experience in a dealer/firm administrative/operational role is considered an asset
• Related experience in a market conduct/risk management role is considered an asset
• Demonstrated strength in effective problem analysis and resolution
• Demonstrated high level of initiative
• Excellent research and organizational skills
• Ability to work well both independently and in a team environment
• Demonstrated professionalism in interactions with co-workers at all organizational levels
• Ability to manage multiple and competing priorities
• Proficiency in Microsoft Word/Excel/PowerPoint