- Handle and respond to telephone, written, and in-person inquiries from stakeholders
- Maintain current knowledge of Council operations, legislation, practices, regulatory trends, and industry happenings
- Provide guidance to licensees and stakeholders on regulatory and practice requirements
- Conduct compliance audits, including CE, E&O; insurance, annual renewal, and mandatory notification audits
- Identify, investigate, document, and address disciplinary and rule breach matters
- Escalate significant breaches to management or professional conduct
- Draft non-compliance investigation letters, best practice letters, reminder letters, and Council memos
- Assist the public with presenting or resolving complaints
- Review Other Business Activity and conflict considerations
- Research, review documentation, gather information, analyze data, and report audit findings and outcomes
- Handle CE deferral, accommodation, and exception requests
- Support annual renewal preparation and IT system testing
- Participate in webinars, including live Q&A; and attendee resource support
- Support the Education team with CE technical content reviews and Accredited Course Provider audits
- Refer matters to other regulatory bodies as required
- Prepare external and internal written communications
- Maintain accurate and timely records
- Identify work trends and contribute to improvements in licensee practice guidance and standards
- Review and update website content
- Liaise with other departments
- Assist the Manager and perform other duties as identified

Requirements

- 3 years’ experience in a regulatory, financial services, or related field




- 2 years of post-secondary education in a related field such as business administration, or equivalent experience
- Proficiency with Microsoft Office, specifically Word, Excel, SharePoint, and Teams
- Superior oral and written communication skills
- Investigation skills, including gathering and recording evidence in breach matters
- Ability to interpret and apply legislation and policies to differing situations
- Excellent service and conflict resolution skills
- Self-motivated with robust problem-solving skills
- Demonstrated analytical and judgment skills
- Ability to handle a large volume of varied work and several concurrent tasks
- Initiative and flexibility
- Strong organizational skills

Core Competencies

Demonstrates expertise in regulatory compliance, including conducting audits and addressing disciplinary matters, while effectively communicating with stakeholders and managing documentation. Proficient in analyzing data and applying legislation to ensure adherence to industry standards.

Highest-signal resume keywords

- Regulatory Compliance
- Investigation Skills
- Microsoft Office Proficiency
- Oral and Written Communication Skills
- Analytical and Judgment Skills

Hard Skills

- Regulatory Compliance
- Compliance Audits
- Data Analysis
- Documentation Management
- Legislation Interpretation

Soft Skills

- Conflict Resolution Skills
- Problem-Solving Skills
- Organizational Skills
- Self-Motivation
- Flexibility

Industry Keywords

- Financial Services
- Stakeholder Engagement
- Best Practice Guidance
- CE Technical Content
- Annual Renewal Preparation

Tools & Technologies

- Microsoft Word
- Microsoft Excel
- Microsoft SharePoint
- Microsoft Teams

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📌 Quality Assurance Advisor (Vancouver)
🏢 Jobtailor
📍 Vancouver