Manager, Market Conduct Investigations

• Leading, mentoring, and developing senior investigator(s) responsible for market conduct investigations and regulatory reporting.
• Conducting complex advisor investigations using data analysis, document review, interviews, and communication with advisors, clients, agencies, and other involved parties.
• Overseeing and ensuring the accuracy and timeliness of compliance investigation reports and summaries submitted to regulators or law enforcement.
• Acting as the primary liaison for regulatory inquiries related to market conduct investigations.
• Maintaining and enhancing the Company’s market conduct monitoring program, including policies, procedures, trending and analysis, exception reporting, advisor/MGA reviews, and investigative processes.
• Evaluating data across all business lines to identify trends, risks, and quality issues that require action or escalation.
• Interpreting new legislation impacting advisor conduct and recommending updates to policies for the Director, Compliance and Chief Compliance Officer.
• Developing ideas to detect or respond to emerging distributor conduct issues, industry developments, or regulatory requirements.
• Building and maintaining strong relationships with internal business units and compliance partners at distribution firms.
• Chairing the Distribution Monitoring Committee and preparing related materials and follow-ups.
• Providing distributor conduct education and training across the organization.
• Representing Equitable at industry committees, meetings, and working groups.
• Preparing monthly/quarterly reporting for senior management, Sales Leadership, and the Board regarding advisor monitoring and investigation activities.
• Participating in broader compliance program activities and supporting additional duties as assigned.
• Managing operational risk by tracking, monitoring, and reporting on risk issues and conducting random audits to ensure controls and workflows perform as intended.

• Minimum 5 years of progressive insurance industry experience across Individual Life, Individual Wealth, and Group lines of business, including experience in a compliance or legal role.
• Post-secondary education, with professional designations or coursework in accounting, business administration, law, compliance, financial crime, AML, fraud examination, LLQP, LOMA, or financial planning considered beneficial.
• Experience in market conduct investigations and distributor monitoring programs, including regulatory reporting and communication with regulators.
• Deep knowledge of investigative techniques, evidence management, and the ability to conduct and oversee complex interviews.
• Strong understanding of laws, regulations, and guidelines related to compliance, risk management, and market conduct in the life insurance industry.
• Excellent interpersonal and communication skills—both written and verbal—with the ability to influence and impact change across diverse business units.
• Strong leadership ability to guide compliance professionals, resolve issues, and foster collaboration across internal teams and external distribution partners.
• Ability to persuade, motivate, and achieve goals through others while handling variable, interpretive, or novel situations.
• Strong analytical, organizational, negotiation, and problem-solving skills, particularly when navigating complex or hypothetical issues.
• Proficiency with Microsoft Excel, Access, and data manipulation/reporting tools (e.g., Power BI).
• Demonstrated ability to prepare presentations, management reports, and statistical analysis for senior leadership and the Board.
• Ability to work independently while managing multiple priorities, timelines, and investigative workloads.
• Excellent knowledge of insurance products, administration practices, distribution channels, and applicable regulatory requirements.
• Strong facilitation and presentation skills to support training and committee leadership.

• Career Growth: Regular learning sessions and development opportunities
• Total Rewards: Incentive pay, annual salary reviews, employer-paid benefits and pension matching
• Time Away: Competitive vacation plus one paid volunteer day each year
• Flexibility: Healthy work-life balance with employee wellness always top of mind, complemented by a “dress for your day” approach

Equitable Life of Canada