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Title Senior Manager, Field Managment
Job ID sasm0108
Email Address
Position Overview  
The Field Management Department is responsible for providing guidance to the Field Force on policies and procedures (regulatory and company issued) in relation to the manner in which clients are to be serviced and products are to be sold. Additionally the department is responsible for investigating allegations of misconduct and other regulatory and policy breaches leveled against members of the Field Force and thereafter providing responses to both clients and regulators on the findings and conclusions.


  • Supervise, guide, mentor and direct staff members which will include investigators and analysts in the Field Management Department
  • Develop compliance and market conduct policies and procedures and to address non-compliance by the Field Force
  • Effectively identify risk and address and/or escalate associated issues appropriately
  • Prepare reports and summaries for Executive Management on investigations involving key members of the Field Force or involving matters that (i) could be escalated by a regulator and negatively impact the overall business of the company or be escalated by the regulator, (ii) negatively impact the reputation of the company, or (iii) reflect developing trends / issues;
  • Supervise research, investigations and responses to enquiries/complaints from consumers, representatives and the industry regulatory authorities and provide guidance as necessary
  • Identify, develop and implement  strategies for the management and assignment of investigation cases with a view to meeting established service levels by ensuring a balanced distribution of cases to achieve optimal efficiency, timely and effective handling and minimization of risks
  • Work with the senior management to identify systemic causes leading to increased case volume or client complaints and develop/propose effective solutions/alternatives
  • Update Field Management policies, procedures, manuals and field bulletins
  • Act as liaison with regulators to ensure open dialogue and maintain strong bilateral communication
  • Successful completion of the Life Insurance, IFIC Mutual Funds and IFIC Branch Managers course; other comparable courses/designations may be accepted in substitution of the foregoing.   Experience working with the Autorité des marchés financiers in Quebec would be a significant asset
  • 10 years related experience in a market conduct/risk management role, preferably within an MFDA Member firm
  • Experience dealing with market conduct issues within the financial services industry with excellent research, interview and problem solving skills
  • Strong leadership with experience leading a department or team
  • Demonstrated investigational and organizational skills
  • Superior verbal and written communication skills
  • University education or equivalent knowledge and skills acquired through related work experience
  • Strong knowledge of regulatory requirements related to the business of life insurance and mutual funds
  • Ability to work with or without supervision
  • Ability to handle multiple and competing priorities
  • positive instructional approach to issue and dispute resolution
  • Proficiency in Microsoft Word is required and experience using Microsoft Excel and PowerPoint is preferred
  • Bilingualism would be considered an asset
State/Province Ontario [ON]
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