• Conduct audits, including inspections or site visits where required, of licensees to ensure compliance
• Support licensees into compliance with Council Rules and Code of Conduct
• Develop guidance and other resources to improve compliance and best practices
• Handle inquiries or complaints and address breaches as required
• Report on audit findings and trends

Requirements

Minimum 5 years of experience in the insurance or financial sector, or a combination of similar relevant experience
Post-secondary education, such as a university degree in related field such as business administration or equivalent related experience
Experience conducting audits, compliance reviews, or investigations
Additional experience in a regulatory or financial services setting is an asset
Background in client service and conflict resolution
Insurance or financial services certification, such as CIP, CAIB, CLU, or CFP is an asset

🔍 ATS Optimization Keywords
Below are skills and terms extracted directly from this job posting to improve Applicant Tracking System (ATS) visibility. This unique feature helps candidates tailor their applications more effectively — a feature exclusive to JobTailor job listings.

Hard Skills

conducting audits
compliance reviews
investigations

Soft Skills

client service
conflict resolution

Certifications & Qualifications

CIP
CAIB
CLU
CFP

Practice Auditor

Principal Consultant, Auditor – EHS Regulatory Compliance and Management Systems