Regional Compliance Officer

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Position Summary:

HUB Capital continues to grow and is looking for a Regional Compliance Officer, for Quebec and Eastern Canada to join the team based in our Montreal, QC office. This role has the flexibility to be based in our Montreal office or work remotely from other regional offices or locations throughout Canada. This role reports to the Director, Investment Compliance and is responsible for monitoring and enforcing applicable regulatory supervision requirements, corporate policies and procedures including risk management and Approved Person compliance education.  This role will keep current understanding of and comply with corporate, regulatory and legislative regulations and policies, good business practices and ethical standards.  This is an ideal role for someone that is passionate about promoting compliance excellence.   If you have prior experience as a Regional Compliance Officer or a MFDA Branch Manager this is a great role with a leader in the industry!  This role will involve some travel and interaction with Brokers.


Job Responsibilities:

  • Reviewing of daily and monthly trading activity
  • Follow up and resolution of trade inquiries
  • Reviewing and approving account opening, updates and transactions forms
  • Reviewing and approving sales communications including websites
  • Conducting field compliance audits including follow-up
  • Training and supervising new approved persons on compliance related issues
  • Communicating corporate policies and procedures
  • Managing client complaints and approved person inquiries
  • Managing approved person registrations/terminations on the National Registration Database (NRD)
  • Assisting National Compliance Team with compliance initiatives
  • Other compliance duties, related projects and initiatives as identified


Qualifications and Experience:

  • Post-Secondary Education and/or relevant Professional Designation
  • Minimum 3 years’ experience within Mutual Fund Compliance
  • Bilingual in English and French (written and verbal) preferred
  • Field audit experience required and insurance industry experience an asset
  • Mutual Fund Branch Managers Examination required
  • Canadian Investment Funds Course (CIFC) or Canadian Securities Course (CSC)
  • Exempt Market Dealer Course (an asset)
  • Officers Partners and Directors (OPD) Qualifying Examination (an asset)
  • LLQP an asset
  • Eligible for immediate registration with provincial securities regulators
  • Extensive knowledge of MFDA Rules and AMF securities regulation
  • Proficient with Microsoft Office and strong computer skills
  • Mutual fund back office systems experience an asset
  • Excellent verbal and written communication and conflict resolution skills
  • Strong organizational and problem-solving skills, with the ability to prioritize
  • Detail oriented and a strong sense of confidentiality
  • Team player and able to work independently
  • Limited planned travel as required


HUB Financial Inc./HUB Capital Inc., is Canada’s largest Managing General Agency for Life Insurance and Investments. We are looking for people that are self-motivated, career oriented, have a high attention to detail and a strong team approach.  If you are looking for a great opportunity to kick start your career, grow and develop both personally and professionally in an open and collaborative environment, we want hear from you!  HUB offers competitive salary and benefit packages, and we value work/life balance. We have offices coast to coast, and we are all our connected by our mission: “To be everywhere risk exists – today and tomorrow.  Helping protect what matters most. “We work in a fast paced, client oriented environment and want to deliver excellence in everything we do. Our people are our greatest asset!  If you are looking for a fun, team environment where you can grow, this is the place for you!”  Terri Botosan, President Hub Financial Inc./Hub Capital Inc.


HUB Financial Inc. 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.