About this Position
We are looking for a Field Investigator to join our Field Management Department.
Responsibilities and Qualifications
Responsibilities:
- Conduct an independent review of all matters flagged on the surveillance reports that are referred to Field Management for further review and handling
- Research, investigate and respond to inquiries related to mutual funds registration and/or licensing matters
- Follow-up with the representative(s), RVP/Branch Manager and/or relevant internal dept(s) where additional information is required
- Provide direction and guidance to representatives on company policies, regulatory compliance requirements, and best business practices
- Research, investigate and respond to enquiries from representatives and other business units
- Provide direction to representatives and Head Office staff on various company policies, compliance requirements and best practices
- Other duties as assigned
Qualifications:
- Post secondary education or equivalent knowledge and skills acquired through related work experience
- Minimum 1-year related experience in a market conduct/risk management role
- Must have or be willing to complete the Mutual Funds and/or Canadian Securities course within the first 6 months of hire date
- Knowledge of regulatory requirements related to the business of life insurance and mutual funds considered an asset
- Life insurance and/or Branch Manager course considered an asset
- Good written and verbal communication skills
- Good research and organizational skills
- Ability to work well both independently and in a team environment
- Ability to handle multiple and competing priorities
- Ability to prioritize and strong attention to detail
- Demonstrating use of good judgment when determining good will adjustments
- proficient in MS Office (Excel and Word)
- Bilingualism would be considered an asset
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.
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