Compliance Specialist

Compliance Specialist (Hybrid)

National Employee Benefits & Retirement

HUB International’s National Employee Benefits and Retirement Team is dedicated to driving growth and excellence across Canada by supporting our regional teams. As strategic partners, this team collaborates with local offices to expand and enhance our Employee Benefits and Retirement divisions, ensuring we deliver best-in-class solutions for clients nationwide. Through innovative strategies, expert guidance, and a shared commitment to success, the National Team empowers our regions to meet evolving market demands, strengthen client relationships, and achieve sustainable growth in the life insurance, employee benefits and group retirement space.

About The Role
We are seeking a Compliance Specialist to provide strategic leadership and oversight for all compliance and risk management initiatives within our National Employee Benefits & Retirement (EB&R) division. This role involves developing and implementing corporate policies, ensuring licensing compliance across Canada, managing annual audits, and addressing regulatory matters, including client complaints and advisor inquiries. The ideal candidate will collaborate with regional teams to standardize processes, and lead efforts to uphold the highest standards of compliance and best practices across our Canadian Operations.

What You’ll Do

1. Policy Development
   • Finalize, communicate, and implement corporate policies, including:
   • Privacy Policy for National EB&R
   • Complaints Submission Policy
   • Anti-Money Laundering (AML) & Anti-Terrorist Financing (ATML) policies and procedures
2. Corporate Licensing Management
   • Oversee the provincial renewal of the Designated Representative and Nominees across all Canadian Provinces.
   • Provide guidance and advice for licensing requirements, annual renewals, and reporting obligations.
   • Support regional entity amalgamations and related licensing processes as required.
3. Regional Licensing Policies and Best Practices
   • Create & document policies for all Provincial licensing that can be delivered to our 5 Regions
   • Communicate and launch policies, providing ongoing maintenance and support.
4. Regional Process Improvements
   • Collaborate with regional licensing and compliance teams to identify and address process gaps.
   • Provide support and guidance on Life/A&S licensing and compliance-related matters.
5. Annual Audits
   • Design, communicate, launch, and maintain an annual audit process for advisors to ensure compliance with policies.
   • Review and revise audit procedures as necessary to address changing requirements.
6. Compliance Guidance and Support
   • Offer ongoing compliance support and guidance to Designated Representatives and regions.
   • Assist with resolving complaints to regional Councils and directly engage with Councils as needed.
   • Actively participate in industry-focused groups and initiatives.

What You’ll Need for Success

• 5+ years of experience in compliance, licensing, or risk management, ideally within the insurance, financial services, or employee benefits sectors.
• Bachelor’s degree in Business Administration, Law, Risk Management, or a related field.
• Strong knowledge of Canadian regulatory frameworks, including provincial licensing, anti-money laundering (AML) regulations, privacy laws, and other related policies.
• Expertise in developing and implementing corporate policies and procedures.
• Proven ability to manage regulatory relationships and navigate compliance with councils and regulatory bodies.
• Strong leadership, communication, and collaboration skills to work with regional teams and executives.
• Detail-oriented with experience conducting audits and resolving compliance-related issues.
• Understanding of Life/A&S licensing requirements and best practices.
• Familiarity with the employee benefits and retirement industry is a strong asset.
• Any relevant certifications in compliance, risk management or licensing is an asset.

What’s in it for you?

• Competitive Compensation: Benefit from a pay structure that includes incentives, bonuses, and opportunities to increase your earnings.
• Work-Life Balance: Enjoy flexible work arrangements and generous time off to support your personal and professional life.
• Tailored Benefits: Access a personalized benefits package, including company-matched RRSPs, designed to meet your unique needs.
• Career Growth and Support: Invest in your future with HUB! Take advantage of our sponsored training and development programs, tuition reimbursement opportunities, and coverage for professional license fees and membership dues—everything you need to support your growth and excel in your career.
• Exclusive Perks: Take advantage of discounts on events, travel, accommodations, and personal home & auto insurance.

At HUB, we believe that diversity drives innovation, equity fosters opportunity, and inclusion creates a culture where everyone thrives. We are committed to building a workplace that reflects the communities we serve and where every employee feels valued, respected, and empowered to bring their whole self to work. By embracing diverse perspectives and fostering an inclusive environment, we cultivate a collaborative and dynamic team that delivers exceptional results for our clients and communities.

Compensation

HUB International is proud to offer comprehensive benefit and total compensation packages which includes extended health benefits, disability insurance, RRSP matching, paid-time-off benefits, and eligible bonuses.

Why Choose HUB?

When you choose HUB, you're choosing a competitive, exciting, and friendly work environment that strategically positions you for longevity and offers significant advancement, growth, and success opportunities.

About HUB International

Headquartered in Chicago, Illinois, Hub International Limited is a leading full-service global insurance broker and financial services firm providing risk management, insurance, employee benefits, retirement and wealth management products and services. With more than 18,000 employees in offices located throughout North America, HUB’s vast network of specialists brings clarity to a changing world with tailored solutions and unrelenting advocacy, so clients are ready for tomorrow.

Through our dedication to excellence and innovation, we are proud to have achieved the remarkable distinction of ranking 5th largest insurance brokerage worldwide! We're not just an insurance broker, we bring clarity to a changing world with tailored solutions and unrelenting advocacy.

If you’re interested in learning how you can grow your career at HUB, visit our Careers Page to explore our opportunities.

HUB International is committed to creating an inclusive and accessible recruitment process for all candidates. If you require accommodations at any stage of the interview process, please let us know, and we will work with you to ensure a fair and equitable experience.

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