Manager, Market Conduct Investigations

The Opportunity: At Equitable we believe great things happen when we work together. Were a Canadian mutual company driven by purpose - putting people first and helping Canadians protect today and prepare for tomorrow. If youre passionate about making a difference and growing your career in an inclusive and collaborative environment wed love to hear from you. Our culture is built on care passion and curiosity. We put people above all else strive to be our best and welcome new ideas to deliver positive outcomes. As the Manager Market Conduct Investigations you will lead the development and execution of Equitables advisor monitoring and investigation program across all lines of business. You will oversee complex investigations regulatory reporting and industry engagement while supporting continuous improvement in advisor conduct oversight. This role provides the opportunity to guide a team of investigators influence enterprisewide compliance practices and strengthen governance related to distributor conduct and regulatory one of the regions top employers and be part of something that truly makes a Arrangements: This is a hybrid role. You will work in our office in Waterloo ON a minimum of two (2) assigned consecutive days every other week plus a fifth (5th) assigned day per month. You are welcome to work from the office more than the minimum requirement and there may be some roles that are required to work in our office more than the minimum youll do:Leading mentoring and developing senior investigator(s) responsible for market conduct investigations and regulatory complex advisor investigations using data analysis document review interviews and communication with advisors clients agencies and other involved and ensuring the accuracy and timeliness of compliance investigation reports and summaries submitted to regulators or law as the primary liaison for regulatory inquiries related to market conduct and enhancing the Companys market conduct monitoring program including policies procedures trending and analysis exception reporting advisor/MGA reviews and investigative data across all business lines to identify trends risks and quality issues that require action or new legislation impacting advisor conduct and recommending updates to policies for the Director Compliance and Chief Compliance ideas to detect or respond to emerging distributor conduct issues industry developments or regulatory and maintaining strong relationships with internal business units and compliance partners at distribution the Distribution Monitoring Committee and preparing related materials and distributor conduct education and training across the Equitable at industry committees meetings and working monthly/quarterly reporting for senior management Sales Leadership and the Board regarding advisor monitoring and investigation in broader compliance program activities and supporting additional duties as operational risk by tracking monitoring and reporting on risk issues and conducting random audits to ensure controls and workflows perform as youll bring:Minimum 5 years of progressive insurance industry experience across Individual Life Individual Wealth and Group lines of business including experience in a compliance or legal education with professional designations or coursework in accounting business administration law compliance financial crime AML fraud examination LLQP LOMA or financial planning considered in market conduct investigations and distributor monitoring programs including regulatory reporting and communication with knowledge of investigative techniques evidence management and the ability to conduct and oversee complex understanding of laws regulations and guidelines related to compliance risk management and market conduct in the life insurance interpersonal and communication skillsboth written and verbalwith the ability to influence and impact change across diverse business leadership ability to guide compliance professionals resolve issues and foster collaboration across internal teams and external distribution to persuade motivate and achieve goals through others while handling variable interpretive or novel analytical organizational negotiation and problemsolving skills particularly when navigating complex or hypothetical with Microsoft Excel Access and data manipulation/reporting tools (e.g. Power BI).Demonstrated ability to prepare presentations management reports and statistical analysis for senior leadership and the to work independently while managing multiple priorities timelines and investigative knowledge of insurance products administration practices distribution channels and applicable regulatory facilitation and presentation skills to support training and committee in it for you:Career Growth: Regular learning sessions and developmentopportunitiesTotal Rewards: Incentive pay annual salary reviews employer-paid benefits and pensionmatchingTime Away: Competitive vacation plus one paid volunteer day each yearFlexibility: Healthy work-life balance with employee wellness always top of mind complemented by a dress for your day approachAt Equitable were committed to fair pay and an inclusive accessible hiring experience. If you need accommodations or alternative formats at any stage just reach out to us at Were happy to base pay will be based on your skills qualifications experience and addition to your salary this role is eligible for a discretionary annual incentive award tied to business performance plus a wide range of competitive benefits. If youre selected to move forward our Talent Acquisition team will walk you through all the details of our total rewards program so you know exactly whats To: Director Compliance Department: Legal & Compliance Term: Permanent Full-Time