Bilingual Compliance Investigator

POSITION SUMMARY

The Compliance Investigatoris responsible for completing investigations of complaints and internal investigations, including determining appropriate investigatory steps, conducting a review, adjudicating the merits of a complaint, completing settlement negotiations with clients, and conducting required follow up on issues raised in each case. The work involves conducting analysis of various sources of information including file documentation, reports, procedures, and interviews to identify trends or issues. The individual will be responsible for identifying appropriatecorrective actions, communicating recommendations to affected parties and providing guidance to ensure corrective actions can be effectively implemented and well documented.

As this role requires bilingual communications, French speaking clients, Advisors, and Quebec regulators are a focus.

DUTIES INCLUDE: