Compliance Manager - Complaints & Investigations

Compliance Manager - Complaints & Investigations

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Job Summary

Oversee day-to-day operations of the World Financial Group Canada compliance program, including compliance processes, regulatory examinations, compliance audits, Tier 2 supervision, and compliant handling.

Responsibilities

• Manage the client complaint handling and agent investigations team, ensuring adherence to regulatory and internal compliance standards.
• Oversee end-to-end complaint handling process, including intake, investigation, resolution and reporting.
• Supervise investigations into agent conduct, including sales practices, documentation deficiencies and regulatory breaches.
• Ensure timely escalation of high-risk cases to senior management and regulatory bodies as required.

Regulatory Compliance

• Mainta...