Business Compliance Manager

We are looking for a highly motivated, skilled, driven individual to join our evolving organization. The ideal candidate will preferably have previous experience working in a regulated environment. The successful candidate will manage a range of compliance issues and will be responsible for assessing risks and identifying patterns and trends whilst performing overall compliance management in the form of internal auditing and the implementation of measures. The successful candidate will also be responsible for ensuring our internal sales quality guidelines are followed, identifying areas of non-compliance, identifying opportunities for improving our internal processes, and providing support, training, and feedback to support the continuous improvement of our sales process.

Position Reports To: CFO

You will be required to work full-time, in our brand-new office in Downtown Toronto just off King station.

Key Responsibilities:

• Analyse the full sales process to ensure sales procedures are compliant with regulatory authorities and our internal quality guidelines.
• Assessment of sales calls and the sales teams for quality and compliance standards.
• Assessment of retention calls to ensure quality and compliance in opportunities related to MT/FT losses.
• Oversee quality assessment process for sales and service calls.
• Provide trend analysis on weekly/monthly/quarterly basis.
  Conduct compliance investigations as required and advise on themes and trends.

• Responsible for the overall design, implementation, and ongoing enhancement of compliance procedures whilst ensuring their alignment with business objectives
• Responsible for implementing and monitoring compliance controls, including conducting regular spot checks of websites, emails, letters, documents, and processes.
• Internal auditing of processes and procedures from a compliance perspective, particularly those procedures relating to the sales process.
• Develop and create effective educations, training and engagement programs to be rolled out through ongoing communication and training of staff.
• Reporting to Senior Management on the status of compliance reviews and resulting actions.

What We Are Looking For:

• Background working in a regulated environment is preferred.
• Excellent planning, organisational skills, and a strong attention to detail.
• Ability to communicate effectively and provide constructive feedback.
• High level of integrity and accountability for results.

Perks and Benefits  

• Day off on your birthday
• Enhanced Benefits with Health and Dental Coverage
• We offer a Registered Retirement Savings Plan (RRSP) Matching Program
• Downtown Location
• Vacation Days increase after 2- and 5-years’ service

If you are ready to take on an exciting and impactful role within a growing team, we invite you to apply and contribute to the continued success of our company.

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