Regulatory and Marketing Compliance Specialist

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Date Posted: 8/6/2021

Reference No.: 2021-0170

Position Type Regular Full-Time

Regulatory and Marketing Compliance Specialist


Responsibilities include

  • Review, edit and provide feedback on marketing and communications with respect to compliance, corporate style and branding

  • Assess regulatory requirements, provide business units with advice and collaborate with key stakeholders to ensure marketing materials and business communications are compliant

  • Identify opportunities to enhance the readability of marketing and business communications

  • Respond to marketing compliance inquiries

  • Manage legal and compliance and contract mailboxes, respond to inquiries and determine when escalation is required

  • Participate in projects as requested

  • Participate in the product development process to determine marketing compliance requirements

  • Provide research, file management and other support to legal counsel

  • Monitor and track key regulatory and current/emerging financial services policy issues and identify opportunities to influence public policy development

  • Assist with the coordination of Empire Life submissions on industry and regulatory matters; document trends and information for communication with appropriate stakeholders

  • Provide support for company involvement in industry committees and working groups

  • Conduct daily monitoring of the external environment to identify policy issues and opportunities for Empire Life and provide to senior management for review

Knowledge / Experience / Certification

  • Min. 3 years’ work experience in insurance/financial services industry

  • Understanding of insurance, mutual funds and marketing, preferably with related legislative and regulatory knowledge

  • Knowledge of financial services and marketing/advertising industry regulations and requirements with regards to compliance review

  • Knowledge of word processing, spreadsheet, database, email, internet, and presentation software

  • Bilingualism (English/French) is an asset

  • FLMI and CSC are assets

Education / Professional Courses

  • Completion of a college diploma with courses in communications, public relations, law, marketing and journalism

Key Skills

  • Ability to build and maintain strong relationships and to resolve matters in a professional and tactful manner.

  • Attention to detail/accuracy

  • Well-developed communication skills

  • Clear writing, editing and proof-reading skills

  • Ability to present information clearly to diverse audiences

  • Ability to prioritize and balance multiple tasks or projects

  • Ability to conduct research, investigate and analyze

  • Excellent written and interpersonal communication skills

Key Competencies

  • Collaboration

  • Customer-centric

  • Driving for Results

  • Initiative

  • Innovation

  • Integrity

  • Interpersonal Communication

  • Judgment and Decision-making

  • Leadership

Working Conditions

  • Office environment

  • Prolonged concentration and attention to detail

  • Prolonged periods of sitting while using a computer and/or telephone


  • Management and employees on a local and national basis

  • Senior leadership

  • Legal counsel

  • Compliance

  • Marketing

  • Industry associations, regulatory bodies and other government agencies if required

In business for more than 90 years, with our head office in Kingston, Ontario, Empire Life continues to grow with offices across the country. Our success is based on a commitment to being approachable and responsive to the needs of our clients and distribution partners, on consistently solid investment performance and on faith in our employees as future leaders.

For regular full-time positions, Empire Life offers a competitive salary and comprehensive benefits package including a bonus plan and opportunities for career development.

If you are looking for an exciting opportunity and to build a career in an innovative and dynamic organization, submit your resume by clicking on Apply Now.
We thank all applicants for their interest. However, only candidates selected for an interview will be contacted. Empire Life is an equal opportunity employer.