Compliance Officer - Complaints
- Employer: FundEX Investments
- City: Vaughan
- Job category: Business Administration, Finance and Accounting, Legal and Compliance
- Job ID: J0818-0548
- Job type: Regular full time
Company OverviewFounded in 1995, FundEX Investments Inc., a national mutual fund dealer added a new spin to the mutual fund industry by launching a flat-fee dealership specifically designed to satisfy the needs of the successful advisor.
Since then, FundEX has grown to become one of Canada’s largest mutual fund dealerships by maintaining its core principles of valuing and encouraging the independence of financial advisors in Canada. FundEX proudly supports over 600 financial advisors across Canada and administers over 12 billion in assets.
Reporting directly to the Coordinator, Complaints and Investigations, the successful candidate will be primarily responsible for investigating and responding to client complaints and regulatory requests. This role will also be a key resource to the Compliance Department and could be called upon to provide leadership and experience to other members of the Compliance team.
• Preliminary review and required document gathering with respect to complaints received from clients;
• Standard client acknowledgement communication, preliminary review to determine scope of complaint, and advisor contact throughout the process;
• Analyze evidence and document analysis to provide recommended outcome for complaint resolution;
• Draft client correspondence throughout the complaint handling cycle: from standard correspondence to substantive responses;
• Good working knowledge of MFDA regulation: Policy 2, Policy 3, and regulatory filing requirements
• Monitor and document complaint processes to ensure timely effective investigation and resolution of complaints and regulatory inquiries;
• Participate in Regional Business Seminars and Annual Conferences;
• Serve as a contact/resource for Regional Branch Managers, Compliance Staff and Associates;
• Assist in the implementation and delivery of Compliance Policy;
• Other projects as assigned.
- Previous mutual fund dealer and/or securities compliance experience required
- Post secondary degree with 3 to 5 years minimum experience in a Compliance role
- Canadian Securities Course or IFIC Mutual Funds Course or equivalent
- PDO/OPD or Mutual Fund Dealer Compliance Course or Branch Managers Course
- Exceptional communication skills, both verbal and written
- Ability to work independently, under pressure and meet strict deadlines.
- Some travel may be required
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iA Financial Group is committed to having an equal access employment program and welcomes applications from women, visible minorities, Aboriginal peoples and disabled persons. Any use of the masculine form is to simplify the text and includes the feminine form.