Hub International Compliance Analyst – Business Practices in Woodbridge, Ontario

Principle Duties and Responsibilities (Essential Functions)

· Execution of the Hub Capital (“HCI”) Branch Review Program of branch, sub-branch locations and representatives

· Schedule and coordinate site visits with the assistance of the Regional Compliance Officers and Branch Managers

· Select trades the from the Transaction Listing produced for the Branch/Sub Branch/Representative in accordance with the HCI Branch Review Program Client File Sampling procedures and provide via excel spreadsheet to Compliance Support Coordinator

· Review Business Cards, advertising, sales communications, websites and social media and identify concerns and/or deficiencies

· Confirm advisor contact information, outside business activities, criminal and financial disclosures to the most recent Year-End Questionnaire and the information on the National Registration Database (“NRD”)

· Review trades, trade documentation, notes and other supporting documentation electronically where available to confirm timeliness, appropriate disclosures, evidence of timely supervision, suitability, undisclosed leverage, identify pre-signed, altered or partially completed documents original documentation as per HCI’s audit procedures

· Conduct Branch Manager and/or Advisor (“AP”) Questionnaires

· Conduct site visit to review Branch/Sub Branch location to confirm signage, security of client files, identify undisclosed outside activities, inappropriate documentation, conduct Branch/Sub Branch and/or AP Questionnaires, review client files to confirm original documentation, notes or evidence of pre-signed/altered forms, undisclosed client complaints, undisclosed outside business activities or personal financial dealings with clients as per HCI Branch Review Program

· Identify deficiencies, complete all components of the audit workbook and finalize the report to be provided to the Director, Investment Compliance for review and distribution within 30 days of the site visit

· Identify efficiencies in department processes and put forward solutions through better use of technology and reporting

· Liaise with internal and back-office resources on system changes, testing, data and reporting requirements

· Other duties and projects as required

Knowledge, Skills and Abilities

· Up to five years’ related experience

· College diploma or other post-secondary education or equivalency

· Strong understanding of industry compliance standards and best practices

· Completion of IFIC or CSC Proficiency

· Branch Managers’, Compliance Officers’ and/or Officers, Partners and Directors Proficiency

· Demonstrated ability to communicate (written and verbal) effectively

· Proficiency in typing and with computer applications, including back office operating system, MS suite with particular focus and working knowledge of Excel

· Bilingual in English/French an asset

HUB Financial is a wholly owned subsidiary of HUB International – a leading North American insurance brokerage that provides a broad array of property and casualty, life and health, employee benefits, reinsurance, investment and risk management products and services through offices located across the United States and Canada. HUB International is ranked among the top insurance brokerages in the world.


Location: Canada, Ontario, Woodbridge
Required Education: College diploma (3-year degree)
Required Experience: 5-7 years
Required Travel: Up to 25%
Date published: 6-Dec-2018
Department: Risk Management & Loss Control
Ref#: P3884_20181205