Market Conduct and Advisor Compliance Specialist

HUB International•Vaughan, ON

4d•Hybrid

About The Position

Market Conduct & Advisor Compliance Specialist (Hybrid) Woodbridge, ON Hub Financial, a division of HUB International, is one of Canada’s largest independent Managing General Agencies (MGA). Specializing in life insurance, investments, and wealth management, we provide independent financial advisors with a wide range of products, resources, and tools to help their business succeed. Our services include access to top-tier insurance solutions, cutting-edge technology platforms, and operational support all designed to streamline business processes and improve client outcomes. At Hub Financial we empower independent advisors to grow their practices, enhance their client service, and deliver comprehensive financial solutions. About The Role We are seeking a motivated professional who thrives in a fast paced environment and is comfortable managing multiple priorities with strong attention to detail. This role plays a key part in supporting Advisor compliance within the Insurance division, ensuring adherence to regulatory expectations, internal policies, and best practices. The individual will contribute to compliance oversight through monitoring suitability, analyzing data, identifying trends, and assisting with audits and ongoing project work.

Requirements

Excellent working knowledge of Microsoft Office (excel, outlook, word & power point)
Demonstrated ability to communicate (written and verbal) effectively
Detail oriented and good organizational skills
Ability to apply common sense thinking
Strong sense of confidentiality
Three or more years’ experience with life insurance administration in an Insurer or Managing General Agency environment
Background in broker contracting and related compliance requirements and regulations
College Diploma or other post-secondary education or equivalency
Good project management skills

Nice To Haves

Experience with WealthServ, APEXA or other industry back-office systems is an asset
Bilingual in French and English is an asset

Responsibilities

Review broker accounts and escalate areas of concern relating to financial instability, incomplete or expired compliance documents, regulatory enforcement, conduct activities and sales trending.
Assess, document and escalate any action required relating to credit, conduct or compliance issues based on facts gathered from Insurance Councils, Insurer Head Offices or other information obtained by HUB.
Report preparation and data analysis pertaining to HUB monitoring processes and trending reviews for insurance and related investment activities.
Maintain internal reporting of information collected and issues that are escalated.
Collaborate with Insurers in advisor audits to ensure compliance with industry responsibilities and appropriate record keeping in client files.
Conduct random review of advisor compliance with licensee responsibilities and record keeping in client files.
Analyse data pertaining to the review of Brokers on ‘Watch’ and prepare reports of observations along with recommendations pertaining to continued suitability
Assist with and coordinate project work as assigned.

Benefits

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.
extended health benefits
disability insurance
RRSP matching
paid-time-off benefits
eligible bonuses
commissions for some positions