Canada Life Assurance Company
Vancouver, British Columbia, Canada
Job Description We are looking for a Regional Compliance Consultant Employing a consultative approach, you will proactively engage with distribution partners (i.e. advisors, management, and administrative staff) to help drive strong awareness on all applicable mutual fund and insurance regulatory and compliance matters. Leveraging your comprehensive knowledge of securities legislation, Mutual Fund Dealers Association's rules and policies, Insurance and other applicable regulatory requirements (e.g. FATCA, AML, Privacy, CASL) you will assist them in establishing and maintaining compliant business practices. What you will do Execute job responsibilities with sound judgement and in support of operational resilience Appropriately address relevant risk, compliance, audit and regulatory findings on a timely basis. Understand SRO rules as they apply to member firms and associated Quadrus policies and procedures; have familiarity with other applicable securities and insurance...