Compliance Manager - Complaints & Investigations

Transamerica

Full time Toronto, Ontario Other Management Occupations

Posted:

March 03, 2026

Location:

Toronto, Ontario, Canada

Job Description

Job Description
Responsibilities
Leadership & Oversight
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
Maintain compliance with CIRO, provincial insurance regulators and internal policies for both life insurance and mutual fund distribution channels.
Ensure accurate and complete documentation of complaints and investigations in compliance systems (e.g., RegEd, COMSET).
Monitor regulatory developments and update procedures accordingly.
Process Management & R...
                

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Job Overview

Job Type: Full time

Location: Toronto, Canada

Posted: March 03, 2026

Deadline: April 12, 2026