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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