Advisor Compliance and Business Practices Specialist Woodbridge (Hybrid) Hub Financial

About The Role

We are looking for a highly motivated individual that is multitask orientated and computer proficient. Responsible for monitoring Advisor suitability and compliance for the Insurance division.

What You’ll Do

Responsible for supporting insurance compliance department functions and projects including Broker Suitability and Business Conduct, Data Analysis through development of effective Trending Reports, Audits relating to Business Conduct and project work.

- Broker/Advisor Suitability: Review broker accounts and elevate areas of concern relating to financial instability, incomplete or expired compliance documents, regulatory enforcement, conduct activities and sales trending. Assess, document and escalation any action required relating to credit, conduct or compliance issues based on facts gathered from Insurance Councils, Insurer Head Offices or other information obtained by HUB.
- Broker/Advisor Monitoring: Report preparation and data analysis pertaining to HUB monitoring processes and trending reviews for insurance and related investment activities. Maintain internal reporting of information collected and issues that are escalated.
- Broker/Advisor Audit: Collaborate with Insurers in advisor audits to ensure compliance with industry responsibilities and appropriate record keeping in client files. Conduct random review of advisor compliance with licensee responsibilities and record keeping in client files. Analyze data pertaining to the review of Brokers on ‘Watch’ and prepare reports of observations along with recommendations pertaining to continued suitability
- Project Management: Assist with and coordinate project work as assigned.

What You’ll Need for Success

- Excellent working knowledge of Microsoft Office (excel, outlook, word & power point)
- Demonstrated ability to communicate (written and verbal) effectively
- Detail oriented and good organizational skills
- Ability to apply common sense thinking
- Strong sense of confidentiality
- Three or more years’ experience with life insurance administration in an Insurer or Managing General Agency setting
- Background in broker contracting and related compliance requirements and regulations
- Experience with WealthServ, APEXA or other industry back-office systems is an asset
- Good project management skills
- Bilingual in French and English is an asset

What’s in it for you?

- Competitive Compensation: Benefit from a pay structure that includes incentives, bonuses,



and opportunities to increase your earnings.
- Work-Life Balance: Enjoy flexible work arrangements and generous time off to support your personal and professional life.
- Tailored Benefits: Access a personalized benefits package, including company-matched RRSPs, designed to meet your unique needs.
- Career Growth and Support: Invest in your future with HUB! Take advantage of our sponsored training and development programs, tuition reimbursement opportunities, and coverage for professional license fees and membership dues—everything you need to support your growth and excel in your career.
- Exclusive Perks: Take advantage of discounts on events, travel, accommodations, and personal home & auto insurance.

Compensation

The expected salary range for this position is $55,000 - $62,000 and will be impacted by factors such as the successful candidate’s skills, experience and working location, as well as the specific position’s business line, scope and level

Why Choose HUB?

When you choose HUB, you're choosing a competitive, exciting, and friendly work environment that strategically positions you for longevity and offers significant advancement, growth, and success opportunities.

About HUB International

Headquartered in Chicago, Illinois, Hub International Limited is a leading full-service global insurance broker and financial services firm providing risk management, insurance, employee benefits, retirement and wealth management products and services. With more than 19,000 employees in offices located throughout North America, HUB’s vast network of specialists brings clarity to a changing world with tailored solutions and unrelenting advocacy, so clients are ready for tomorrow. We’re not just an insurance broker, we’re a team of passionate professionals dedicated to innovation, excellence, and empowering our clients and communities through personalized support and expertise.

AI Disclosure

AI and Automation Notice HUB International uses limited AI and automation tools within our recruitment systems to enhance efficiency in the hiring process and in the candidate experience.



These tools do not independently make hiring decisions or screen out candidates — all decisions are made through human review. HUB International is committed to creating an inclusive and accessible recruitment process for all candidates. If you require accommodations at any stage of the interview process, please let us know, and we will work with you to ensure a fair and equitable experience.

Department Office Administration & Clerical

Required Experience: 2-5 years of relevant experience

Required Travel: No Travel Required

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Hola, ¡SOMOS HUB!

En un mundo que cambia constantemente, apoyamos y guiamos a negocios e individuos a prepararse para lo inesperado. Cuando te unes a nosotros estás rodeado de una red de expertos que te ayudarán a alcanzar tus metas, desde servicios de manejo de riesgo, manejo de reclamaciones y apoyo en cumplimiento. Esto te dará la tranquilidad mental de que las cosas que te importan más, estarán bien protegidas, a través de nuestra impecable asesoría y soluciones de seguros personalizadas que te proveerán mayor control y seguridad.

SOBRE HUB INTERNATIONAL

Nuestras Oficinas Corporativas tiene como sede la ciudad de Chicago en Illinois, Hub International Limited (Hub) es un corredor líder global que provee servicios y productos en Propiedad y Contingencia, Vida y Salud, Beneficios a Empleados, Manejo de Riesgo e Inversión. Tiene Oficinas localizadas a través de todo América del Norte. La extensa y amplia red de especialistas de HUB proveen tranquilidad mental en lo que más importe, protegiendo a los clientes por medio de la asesoría y soluciones de seguros atemperadas a sus necesidades. Para más información puedes visitar hubinternational.com

At HUB, we believe that diversity drives innovation, equity fosters opportunity, and inclusion creates a culture where everyone thrives.

We are committed to building a workplace that reflects the communities we serve and where every employee feels valued, respected, and empowered to bring their whole self to work.

By embracing diverse perspectives and fostering an inclusive environment, we cultivate a collaborative and dynamic team that delivers exceptional results for our clients and communities.

📌 Advisor Compliance and Business Practices Specialist (Canada)
🏢 HUB International
📍 Canada