Become a pivotal Compliance Officer dedicated to handling complaints effectively. Utilize your expertise to provide guidance, identify trends, and ensure public protection in a hybrid work environment.
This role emphasizes managing complaints against licensees while advising on compliance inquiries. You will analyze non-compliance issues and potential risks, driving investigations to protect the public interest. Additionally, you’ll draft various communications and liaise with stakeholders to support your efforts.
Key Responsibilities:
• Review complaints for Council's jurisdiction
• Draft reminder letters for conduct concerns
• Conduct investigations on compliance breaches
• Prepare reports for Review Committee presentations
• Document interactions with licensees and complainants
Requirements:
• Minimum 3 years in regulatory or financial services
• Post-secondary education in a relevant field
• Proficiency in Microsoft Office suite
• Strong conflict...