Regulatory Compliance and Complaints Coordinator

Wellington-Altus•Winnipeg, MB

4d•Onsite

About The Position

Reporting to the Vice-President, Group Legal Compliance & Complaints, the Regulatory Compliance and Complaints Coordinator is responsible for supporting and the coordination of the VP’s mandate, including the firm's compliance, complaints management, governance, and regulatory initiatives / projects across the organization. This role serves as a key coordinator of the VP, Group Legal Compliance and Complaints in tandem with the Chief Compliance Officers (CCOs), advisors, and other business stakeholders to ensure compliance matters, regulatory complaints, governance initiatives, and special projects are effectively managed, tracked, and completed. The successful candidate will possess exceptional organizational, communication, and writing skills, demonstrate sound judgment and discretion, and thrive in a dynamic, fast-paced environment requiring the simultaneous management of multiple priorities.

Requirements

Post-secondary education in Business, Commerce, Finance, Law, or a related field, including completion of a Legal Assistant, Paralegal, or equivalent diploma/certificate program.
An equivalent combination of education and relevant experience will be considered.
2+ years of related work experience in compliance, risk management, legal operations, governance, or a related field is an asset.
Experience supporting legal counsel, compliance officers, or senior executives.
Experience within a regulated industry, particularly financial services, wealth management, securities, insurance, or financial planning.
Knowledge of Canadian regulatory and compliance frameworks relevant to financial services.
Proficiency with the MS Office suite, including Word, Excel, PowerPoint, Teams, and Outlook.
Exceptional organizational and project management skills with the ability to manage multiple priorities simultaneously.
Strong verbal and written communication skills, including the ability to communicate effectively with senior stakeholders.
Excellent drafting and writing skills with an ability to prepare clear, concise, and professional correspondence and reports.
High degree of discretion, professionalism, and ability to manage confidential and sensitive client and firm information.
Strong attention to detail and analytical thinking skills.
Must be legally eligible to work in Canada.

Nice To Haves

This position is well suited to recent graduates or early-career professionals looking to build a career in regulatory compliance and financial services.

Responsibilities

Coordinate and case manage regulatory client complaints from intake through resolution based on the direction of the VP, Group Legal Compliance and Complaints, who is the firm’s Designated Complaints Officer (DCO).
Assist in the preparation and drafting of complaint responses and regulatory correspondence under the direction of the VP, Group Legal Compliance and Complaints.
Liaise with insurers regarding claims arising from regulatory complaints, including providing supporting materials as requested by insurers.
Track and monitor complaint files, key deadlines and resolution activities based on the regulatory obligations and the firm’s standard operating procedures.
Assist with preparing summaries and status updates for the CCOs and Ultimate Designated Person (UDP).
Maintain accurate records and documentation related to complaint investigations and outcome.
Coordinate the administration of the firm's non-resident client policy.
Organize, track, and maintain legal opinions obtained from external counsel in support of the firm's non-resident client policies.
Assist with the facilitation of the onboarding process for non-resident clients by coordinating with advisors and business units.
Communicate legal opinion findings and practical business implications to advisors and other stakeholders about non-resident jurisdictions.
Coordinate the administration, tracking, and maintenance of referral arrangements and related documentation.
Provide guidance and support to advisors and business stakeholders regarding referral arrangement requirements based on firm policy and procedures.
Assist with developing and maintaining governance trackers, dashboards and records management systems that improve the governance of the firm.
Assist with the creation of documentation and records related to governance committees, special compliance initiatives, and regulatory projects.
Assist in maintaining policies, procedures, registers, and compliance records related to the mandate of the VP, Group Legal Compliance and Complaint.
Support the VP, Group Legal Compliance and Complaints in the execution of strategic regulatory and compliance initiatives.
Assist in modernizing and strengthening the firm's compliance framework, governance processes, and recordkeeping practices.
Identify opportunities to improve efficiency through enhanced processes, controls, and reporting mechanism.
Contribute to a collaborative and team-oriented culture by assisting colleagues and business units as needed.
Perform other duties and special assignments as delegated by the VP, Group Legal Compliance and Complaints.