About this Position This individual will be working closely with the Legal and Compliance teams, the suitable candidate will be part of the Field Audit team responsible for regulatory compliance reviews of the branches and sub-branches of Primerica offices across Canada. This individual will also ensure that policies and procedures are implemented in accordance with the regulatory requirements and support Primerica Canada advisors in maintaining high standards in matters of compliance. We are looking for Field Auditor to join our Field Audit department. Responsibilities and Qualifications Responsibilities: Prepare and distribute notification packages for individual audits Coordinate with the Field Force and establish monthly schedules in support of the Annual Audit Plan considering travel cost Prepare and conduct new Branch Manager and RVP training and compliance briefings and educate field personnel on proper methods and procedures Conduct research and analyze data in support of Field Audits and Field Inquiries Research and review compliance requirements Execute the audit program and complete interviews to identify potential gaps and/or compliance deficiencies with respect to regulatory requirements and /or corporate policies and procedures Understand and utilize proper reporting requirements Perform audits and observe Opportunity Night presentations to ensure proper supervision and compliance Perform ad hoc audits and investigations as required Coordinate and perform Regulatory Field Assistance audits and visits Identify and escalate potential high-risk compliance issues with the Head Office team Assess and report audit results after considering the review of all systems, office, documents/files, interviews, and audit history to the Field Force Follow-up and remediate audit findings with the Field Force Function as a communication channel for flow of information to and from the Head Office (Mississauga, ON) Interact and establish rapport with Field Leaders and maintain a high degree of knowledge, proficiency and understanding of regulatory requirements and company policies Relate company goals and objectives to the Field Force in a positive manner, obtain field input and observe field response to programs and changes in order to provide feedback to senior management Willingness to travel across Canada and work on weekends (nature of the job may require up to 70-80% of local/across Canada travel) Home based office; preferred candidate resides in Greater Toronto Area to optimize travel Other duties as may be assigned Qualifications: Minimum of 2 years’ experience as a Field Compliance Auditor, Inspector and/or Investigator within the financial services industry would be considered an asset; experience with a CIRO registered Dealer would be preferred Must have successfully completed either the IFSE Canadian Investment Funds Course and the IFSE Branch Managers’ Examination Course or IFSE Ethics and Professional Conduct (EPC), Investment Funds in Canada (IFC), Canadian Securities Course (CSC), Branch Compliance Officer’s Course (BCO), CSI Branch Managers Course (BMC), Conduct and Practices Handbook Course (CPH) and has obtained equivalent experience, training or education required to perform audits under CIRO rules. This may include having been actively involved in the compliance function of a CIRO registered Dealer or other equivalent supervisory role Post-secondary education an asset or equivalent knowledge and skills acquired through related work experience Valid Driver’s License and access to a vehicle Fluent in English, written and verbal communication skills Bilingualism (English/French) considered an asset Ability to work well independently to complete assigned tasks Exceptional organizational skills, ability to prioritize assignments and strong attention to detail Familiarity with the financial services industry or regulatory or enforcement experience would be considered an asset Working knowledge of regulatory requirements related to the business of life insurance and mutual fund industry an asset Focused, highly motivated results-oriented individual with the strong ability to multi-task and perform under pressure and within strict timelines in a fast-paced environment Must be proficient in MS Office (Word, Excel) It has been and will continue to be the policy of Primerica, Inc., and its subsidiaries to be an Equal Opportunity Employer. We provide equal opportunity to all qualified individuals regardless of race, sex, color, religious creed, religion, national origin, citizenship status, age, disability, pregnancy, ancestry, military service or veteran status, genetic or carrier status, marital status, sexual orientation, or any classification protected by applicable federal, state or local laws. At Primerica, we believe that diversity and inclusion are critical to our future and our mission – creating a foundation for a creative workplace that leads to innovation, growth, and profitability. Through a variety of programs and initiatives, we invest in each employee, seeking to ensure that our people are not only respected as individuals, but also truly valued for their unique perspectives. Primerica is a leading provider of financial products and services to middle-income families in the U.S. and Canada. Since 1977, Primerica has helped millions of middle-income households protect their families and save for the future. We insure over 5.5 million lives and have approximately 3.0 million client investment accounts. Headquartered in metro Atlanta, Primerica is a Fortune 1000 company with over 2,800 employees located in the U.S. and Canada. Our employees are an integral part of achieving Primerica’s mission in creating more financially independent families and supporting over 151,000 licensed financial representatives across the U.S. and Canada. The Company’s competitive salaries, award-winning benefits packages, and employee recognition programs are just a few of the reasons the average employee tenure is 13 years. Awards and Recognitions Newsweek’s America’s Greatest Workplaces USA Today’s Top Workplaces USA Atlanta Journal-Constitution’s Top Workplaces Forbes America’s Best Insurance Companies #1 Most Trusted Life Insurance Company by Investor’s Business Daily #3 Most Trusted Financial Company by Investor’s Business Daily Our stock is traded on The New York Stock Exchange under the symbol “PRI.” If you need help with any part of the application process, please email Recruiting@primerica.com. www.primerica.com PRIMERICA CAREERS Don't see a job that you are interested in? Introduce yourself and submit your resume to our recruiters. We'll get in touch if there's a role that seems like a good match.
