Compliance Associate
$50k - $60k per yearFull-time
Compliance Associate
Position Title: Compliance Associate
Location: Mississauga, Ontario
Reports To: Chief Compliance Officer
Compensation : $50-000-$60,000
Overview:
The Compliance Associate plays a key role in supporting the Chief Compliance Officer in overseeing the day-to-day compliance operations of the MGA. This position is focused on the insurance side of the business, ensuring that new business submissions, advisor files, and carrier interactions meet regulatory and internal standards. The role requires a detail-oriented individual with a solid understanding of the life and group benefits insurance environment who is comfortable working with insurance systems, carrier portals, and compliance documentation.
Key Responsibilities:
Qualifications and Skills:
Education:
Position Title: Compliance Associate
Location: Mississauga, Ontario
Reports To: Chief Compliance Officer
Compensation : $50-000-$60,000
Overview:
The Compliance Associate plays a key role in supporting the Chief Compliance Officer in overseeing the day-to-day compliance operations of the MGA. This position is focused on the insurance side of the business, ensuring that new business submissions, advisor files, and carrier interactions meet regulatory and internal standards. The role requires a detail-oriented individual with a solid understanding of the life and group benefits insurance environment who is comfortable working with insurance systems, carrier portals, and compliance documentation.
Key Responsibilities:
- New Business Compliance Review:
- Review incoming insurance policy submissions to ensure all documentation is complete, accurate, and compliant with carrier and regulatory requirements.
- Verify that applications, disclosures, and supporting documents meet MGA and carrier standards prior to submission.
- Identify and escalate any gaps, inconsistencies, or missing information to the CCO or new business team.
- Support the processing and tracking of new business cases through internal systems including WealthServ and vFund.
- Access and navigate carrier portals to retrieve policy status updates, outstanding requirements, and compliance-related documentation.
- Documentation and Compliance Support:
- Maintain organized and current compliance files for advisors, including licensing, E&O insurance, and carrier appointment records.
- Capture and file compliance documentation using internal tools and document management systems.
- Conduct routine audits of new business files and advisor documentation to ensure ongoing compliance with MGA policies and provincial regulatory requirements.
- Assist in preparing reports for internal leadership, head office, or regulatory bodies as required.
- Monitor and follow up on outstanding compliance items, ensuring timely resolution.
- Advisor and Carrier Liaison:
- Serve as a compliance resource for advisors, responding to questions related to new business requirements, documentation standards, and submission processes.
- Liaise with carriers to obtain outstanding information, confirm policy status, and resolve compliance-related issues.
- Support onboarding of new advisors by ensuring their contracting and licensing documentation is complete and properly filed.
- Reporting and Recordkeeping:
- Maintain accurate and up-to-date records of new business activity, compliance reviews, and audit findings.
- Assist in preparing periodic compliance reports for submission to head office or regulators.
- Track advisor complaints and compliance matters, ensuring proper follow-up and documentation of resolution.
- Administrative and Branch Support:
- Support the CCO in monitoring compliance activities across the MGA.
- Assist with internal and external audit preparation by ensuring documentation is accessible and well-organized.
- Contribute to the continuous improvement of compliance processes and procedures within the branch.
Qualifications and Skills:
- 1 to 3 years of experience in a life insurance, group benefits, or insurance MGA environment is preferred.
- Working knowledge of insurance new business processes, including an understanding of policy types such as term, universal life, and group benefits.
- Familiarity with insurance systems and tools including WealthServ, vFund, carrier portals, and document management platforms is an asset.
- Audit and compliance mindset with strong attention to detail and the ability to identify documentation gaps.
- Excellent organizational skills and the ability to manage multiple priorities in a deadline-driven environment.
- Strong communication skills with the ability to work professionally with advisors, carriers, and internal team members.
- Proficient in Microsoft Office; experience with branch or compliance management systems is a plus.
Education:
- Post-secondary education in Business Administration, Finance, or a related discipline is preferred.
- Industry certifications or coursework in life insurance (e.g., LLQP or equivalent) are considered an asset.
Vacancy posted 23 days ago
Similar jobs that could be interesting for youBased on the Compliance Associate in Mississauga, ON vacancy
$75.22k per year
...to work remotely. Responsibilities Tasks Advise licencees on laws and regulations Inspect commercial vehicles to ensure compliance with regulations governing load restrictions, the transportation of hazardous materials and public safety Prepare reports Identifying...SuggestedPermanent employmentFull timeRemote work- ...Number of Positions: 1 Closing Date: 06/26/2026 Job Summary Under administrative direction of the Supervisor, Data Management and Compliance, this position functions as an independent and objective body that reviews and evaluates compliance issues/concerns within Finance....SuggestedHourly payPermanent employmentFull timePart timeImmediate start
- ...Our client has an immediate opening for a Senior IT Risk and Compliance Analyst to join their team in Mississauga. In your new role as a Senior IT Risk and Compliance Analyst, you will support and strengthen an enterprise-wide IT Risk and Compliance program. You will work...SuggestedPermanent employmentContract workImmediate startRemote work3 days per week
- ...diseases, we’re establishing new ways to think about science, manufacturing and commercialization. We are looking for a Canada Compliance Director to join our International Compliance team, playing a central role in supporting business operations and strengthening our...SuggestedWork at office
- ...Job Title: Production Associate Location: HWY 403 & Dundas St W, Mississauga Shift : This position will require open availability... ...and promoting a sense of teamwork and collaboration Work in compliance with OH&S acts and regulations. Use personal protective and...SuggestedShift workNight shiftAfternoon shift
- ...contributions, unload donations and place stock in appropriate location. Maintain the proper sorting and processing of goods, ensure compliance with quality standards; that all products are priced correctly as per store policy. Perform other duties as required. 2. Health...Minimum wagePermanent employmentFull timePart timeLive outAfternoon shiftWeekday work
$159.23k - $209.23k per year
...Associate Director, Medical Education Are you passionate about advancing scientific learning and healthcare professional education... ...with Medical, Commercial, Market Access, Regulatory, and Ethics & Compliance teams to ensure strategic and compliant execution. Oversee...Long term contractTemporary workInternshipWork at office- Our branded retail team is at the heart of our success. We represent the welcoming spirit of our company. Our retail teams are outgoing and approachable individuals who understand how our products and services fit into everyday life, and we’re excited to show customers how...Hourly payContract workPart timeLocal areaShift workAfternoon shift
$80k - $114k per year
...collaboration skills with global and cross‑functional teams. Ability to build effective internal and external relationships. Compliance with company policies, health & safety, and environmental standards. Aligning our overall business objectives with performance, we...Full timeWork at office- ...About the Role: As a Warehouse Associate II you will be responsible for accurately and safely gathering, packaging, and preparing products... ..., and other Material Handling Equipment in a safe manner in compliance with Company Health and Safety Policy Coordinate with the...Shift workNight shiftWeekend workAfternoon shift
$2813.5 per month
...financial transactions.- Assist in maintaining accurate financial records and documentation.- Collaborate with team members to ensure compliance with financial regulations.- Provide general administrative support to the finance department. Skills:- Proficiency in using...Permanent employmentFull timeCasual workMonday to fridayFlexible hours$19.59 - $23.51 per hour
...immediately for a full-time Warehouse Administrator/Warehouse Associate for our warehouse team. As a member of the Operations Team, you... ...maintenance and security, equipment maintenance, maintain supplies, compliance to health and safety program (HASP) and monthly OSHA Logs...Hourly payFull timeWork at officeImmediate startWorldwideShift work- ...transformation of the eyewear and eyecare industry. Discover more by following us on LinkedIn! GENERAL FUNCTION The Sales Associate sets the standard of quality in eye care and eyewear by ensuring every patient and customer has the best experience in every...Minimum wagePart timeCasual workLocal area
$35k - $52k per year
...market needs; work schedule may differ from week to week in terms of days worked, hours, and shifts. Follows through on risk and compliance processes and policies to ensure we safeguard our customers' assets, maintain their privacy, and act in their best interest. Keeps...Full timeContract workPart timeDay shift$159.23k - $209.23k per year
...and real-world data? If so, we invite you to join us as our new Associate Director, Real World Evidence at Novo Nordisk. Read more and... ...methodologies to enhance insights and decision-making. Ensure compliance with local regulatory requirements, Novo Nordisk policies, and...Long term contractTemporary workInternshipLocal area$17.6 per hour
...100 years young and we need you!! Job summary The Merchandising Associate works in conjunction with Retail Operations Management to... ...to customers so they leave with everything they need. Ensure compliance with Health and Safety regulations. Requirements / Skills...Hourly payPermanent employmentPart timeSeasonal workFlexible hoursShift workWeekend workAfternoon shift- This is a Part-time position Take your career to new heights at Structube! STRUCTUBE is the perfect workplace for fans of modern and contemporary interior design, furniture and accessories. We foster an inspiring work environment where collaboration and camaraderie...Part timeWork at office
$20 per hour
...Collaborate with production, repair, and quality assurance teams to resolve issues. Ensure all work is completed safely and in compliance with company policies. What We’re Looking For High school diploma or equivalent; training in automotive inspection or quality...Hourly payPermanent employmentFull timeInternship- ...Staffmax is assisting our client in hiring dependable Production Associates for a 6-month contract. This position is ideal for individuals who enjoy working in a fast-paced, hands-on environment and are committed to quality and teamwork. Contract Length: 6 Months Location...Contract work
$18 per hour
...mission to build a world-class team that drives innovation, growth, and excellence. As we scale rapidly, we are looking for a Last Mile Associate – Automotive Production to join our reconditioning facility team. This role ensures the smooth final stage of our vehicle...Hourly payPermanent employmentFull timeInternship$20 per hour
...including D1 Capital, Canaan, Real Ventures, BrandProject, and Upper90. To learn more, visit clutch.ca. About the role: The Parts Associate will support parts and materials flow in our Mississauga reconditioning facility. You’ll be responsible for managing inventory,...Hourly payPermanent employmentFull timeInternshipMonday to friday$17.75 per hour
Overview Languages English Education Secondary (high) school graduation certificate or equivalent experience Experience Experience an asset On site Work must be completed at the physical location. There is no option to work remotely. Work...Permanent employmentFull timePart timeRemote work$46.6k - $69.85k per year
...Fisher Scientific, you'll join a quality assurance team focused on ensuring consistent execution of quality standards and regulatory compliance. You'll play a vital role in enabling our customers to make breakthrough discoveries and innovations that make the world healthier,...Remote jobFull timeFixed term contractWork at officeShift workAfternoon shift- ...respecting co-workers. Adheres to adidas’ brand values and Sales Associate competencies. Assist with telephone duties. Adheres to... ...providing an adequate temporary protective device. Work in compliance with the provisions of the Act and the Company safety policies....Full timeTemporary workFixed term contractSeasonal workImmediate startAfternoon shift
$34k per year
...preparing drawings, writing work instructions, and presenting technical insights. Monitor safety practices and ensure ISO 13485 and FDA compliance while collaborating with cross functional teams to meet product timelines. In all actions, demonstrates a primary commitment to...Hourly payLong term contractInternshipWork at officeLocal areaRelocation packageShift work3 days per week- ...the mall! We're looking for music and pop culture fanatics to help create the best experience for our customers. As a Hot Topic Sales Associate, you'll be a huge part of our success by providing the best customer service, ensuring that fellow fans can get their hands on the...Part time
$17.6 - $18.6 per hour
Education: Expérience: Education College, CEGEP or other non-university certificate or diploma from a program of 1 year to 2 years Screening questions ~ Are you available to start on the date listed in the job posting? Employment terms options ~ Early morning...Permanent employmentEarly shiftRuito Trading Inc.
Mississauga, ON7 days ago- ...Operations Accounting across KARL STORZ North America. As the Associate Director, Operations Accounting, you'll lead the accounting function... ...Procedures (SOPs) while ensuring strong internal controls and compliance. Lead finance transformation initiatives, partnering with IT...Long term contractWork at officeWorldwide
- ...Join us today and be a part of a team that is redefining the future of media. We have an exciting opportunity for a PT Showroom Associate to join our team at Rogers Sports and Media! What you will bring... Pull merchandise for shows, pre-production photography, web...Long term contractContract workPart timeShift workNight shiftRotating shift
$20 per hour
...Canaan, Real Ventures, BrandProject, and Upper90. To learn more, visit clutch.ca. About the role: Clutch is looking for a Delivery Associate to join our Field Operations team at our location in Mississauga ! You could be a good fit if you are hard working, organized,...Hourly payPermanent employmentFull timeInternshipLong distance
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Compliance Associate. Be the first to apply!
Related searches
- compliance officer Mississauga, ON
- corporate compliance officer Mississauga, ON
- regulatory analyst Mississauga, ON
- analyste conformité Mississauga, ON
- regulatory affairs associate Mississauga, ON
- trade compliance specialist Mississauga, ON
- regulatory specialist Mississauga, ON
- compliance analyst Mississauga, ON
- regulatory compliance officer Mississauga, ON
- customs compliance Mississauga, ON