Top Benefits
About the role
Job Details
Job title: Manager, Licensing & Compliance
Location: Grimsby, Niagara Falls, Port Colborne, Smithville, St Catharines, Thorold, Toronto, Welland
Description
Manager, Licensing & Compliance (Job 9782)
Flexible, In-Office or Hybrid
Our client is a rapidly growing, forward-thinking brokerage that places a strong emphasis on integrity, collaboration and professional excellence. Dedicated to empowering consumers, they provide a digital platform that offers comprehensive comparisons on insurance, mortgage rates, credit cards and banking products backed by expert insights, educational content and financial tools.
With a mission to help Canadians make informed and confident financial decisions, this organization is building a culture where compliance plays a central role in supporting responsible growth and customer trust. If you’re a compliance-minded professional who wants to be part of an innovative and purpose-driven team and you bring experience as a Broker, this could be the opportunity you’ve been looking for.
Position Overview:
We are looking for a Manager, Licensing & Compliance who will play a critical role in ensuring that all licensing, compliance and regulatory requirements are met across all provinces where the brokerage operates. The Manager in this position will be responsible for overseeing the licensing and continuing education of all licensed employees, reviewing operational workflows for regulatory compliance and managing error and omission (E&O) reporting and resolutions.
Key Accountabilities:
- Manage licensing processes for all provinces in which the brokerage operates, including new applications, renewals and status changes.
- Monitor continuing education (CE) compliance for all licensed employees, ensuring timely completion and documentation of CE requirements.
- Review internal workflows and procedures regularly to ensure adherence to regulatory requirements and industry best practices.
- Act as the primary point of contact for E&O claims, submit initial notices to the insurance provider, coordinate documentation and manage communications until resolution.
- Liaise directly with insurance regulators regarding licensing, compliance audits, complaints and other regulatory matters.
- Maintain up-to-date records of licenses, CE credits, regulatory notices and internal compliance audits.
- Provide guidance and training to internal teams on compliance requirements, licensing standards and regulatory changes.
- Support the brokerage’s growth initiatives by ensuring smooth licensing processes for expanding into new provinces or territories.
- Adhere to privacy requirements and facilitate customer privacy inquiries.
- RIBO Form 1 oversight, supported by our Finance team.
- Collaborate with our internal Training & Development team.
Qualifications/Attributes:
- RIBO Level 3 License (Unrestricted Management Level).
- Minimum of 8 years’ experience working in an insurance brokerage environment.
- Strong knowledge of Canadian insurance licensing requirements, compliance standards, and regulatory processes.
- Experience working directly with provincial insurance regulators on licensing and complaints.
- Proficient in Broker Management Systems experience, in particular with Applied Epic.
- Familiar with broker comparative raters, particularly with Applied Rating Services.
- Exceptional organizational skills, attention to detail and ability to manage multiple priorities and deadlines.
- Strong interpersonal skills and excellent communication.
- Ability to build and maintain strong internal and external relationships with ease.
- High level of integrity, professionalism and discretion in handling confidential information.
Experienced candidates please forward your resume in confidence to Danielle
Information
- City: Toronto
- Market segment: Insurance
- Job Type: Full-Time
- Education: RIBO
- Expertise: Risk Management , Broker-Customer Service , Broker Management , Compliance-Regulatory , Auditing , Operations Management , Risk Control
- Minimum experience required: 7 to 10 Years
- Contact name: Danielle Alexander
- Contact email: danielle@dgacareers.com
- Contact phone: 416-868-6711
About DGA Careers
DGA Careers is an Executive Search and Recruitment firm focused exclusively on the insurance industry across North America since 1986. Our deep industry experience, knowledge and strong relationships enable us to connect leading insurers, insurance brokerage firms and independent adjusting firms with the most talented mid to senior level professionals for each individual leadership role.
As specialists in the insurance industry, we are uniquely positioned to thoroughly understand the issues, trends and challenges affecting both our clients and executive talent. Our experienced consultants include former insurance executives and professionals, giving us unequalled access to the insurance industry’s leading senior executives and firms.
As a member of NIRA (the National Insurance Recruiters Association), we have access to an unparalleled network of US candidates through nearly 50 insurance recruiting specialist affiliates throughout the United States.
Generalist executive search firms may fill one insurance executive position a year: We successfully place multiple senior executives in leading companies in the insurance industry every year. Bottom line: We find and assess great people for the insurance industry.
Top Benefits
About the role
Job Details
Job title: Manager, Licensing & Compliance
Location: Grimsby, Niagara Falls, Port Colborne, Smithville, St Catharines, Thorold, Toronto, Welland
Description
Manager, Licensing & Compliance (Job 9782)
Flexible, In-Office or Hybrid
Our client is a rapidly growing, forward-thinking brokerage that places a strong emphasis on integrity, collaboration and professional excellence. Dedicated to empowering consumers, they provide a digital platform that offers comprehensive comparisons on insurance, mortgage rates, credit cards and banking products backed by expert insights, educational content and financial tools.
With a mission to help Canadians make informed and confident financial decisions, this organization is building a culture where compliance plays a central role in supporting responsible growth and customer trust. If you’re a compliance-minded professional who wants to be part of an innovative and purpose-driven team and you bring experience as a Broker, this could be the opportunity you’ve been looking for.
Position Overview:
We are looking for a Manager, Licensing & Compliance who will play a critical role in ensuring that all licensing, compliance and regulatory requirements are met across all provinces where the brokerage operates. The Manager in this position will be responsible for overseeing the licensing and continuing education of all licensed employees, reviewing operational workflows for regulatory compliance and managing error and omission (E&O) reporting and resolutions.
Key Accountabilities:
- Manage licensing processes for all provinces in which the brokerage operates, including new applications, renewals and status changes.
- Monitor continuing education (CE) compliance for all licensed employees, ensuring timely completion and documentation of CE requirements.
- Review internal workflows and procedures regularly to ensure adherence to regulatory requirements and industry best practices.
- Act as the primary point of contact for E&O claims, submit initial notices to the insurance provider, coordinate documentation and manage communications until resolution.
- Liaise directly with insurance regulators regarding licensing, compliance audits, complaints and other regulatory matters.
- Maintain up-to-date records of licenses, CE credits, regulatory notices and internal compliance audits.
- Provide guidance and training to internal teams on compliance requirements, licensing standards and regulatory changes.
- Support the brokerage’s growth initiatives by ensuring smooth licensing processes for expanding into new provinces or territories.
- Adhere to privacy requirements and facilitate customer privacy inquiries.
- RIBO Form 1 oversight, supported by our Finance team.
- Collaborate with our internal Training & Development team.
Qualifications/Attributes:
- RIBO Level 3 License (Unrestricted Management Level).
- Minimum of 8 years’ experience working in an insurance brokerage environment.
- Strong knowledge of Canadian insurance licensing requirements, compliance standards, and regulatory processes.
- Experience working directly with provincial insurance regulators on licensing and complaints.
- Proficient in Broker Management Systems experience, in particular with Applied Epic.
- Familiar with broker comparative raters, particularly with Applied Rating Services.
- Exceptional organizational skills, attention to detail and ability to manage multiple priorities and deadlines.
- Strong interpersonal skills and excellent communication.
- Ability to build and maintain strong internal and external relationships with ease.
- High level of integrity, professionalism and discretion in handling confidential information.
Experienced candidates please forward your resume in confidence to Danielle
Information
- City: Toronto
- Market segment: Insurance
- Job Type: Full-Time
- Education: RIBO
- Expertise: Risk Management , Broker-Customer Service , Broker Management , Compliance-Regulatory , Auditing , Operations Management , Risk Control
- Minimum experience required: 7 to 10 Years
- Contact name: Danielle Alexander
- Contact email: danielle@dgacareers.com
- Contact phone: 416-868-6711
About DGA Careers
DGA Careers is an Executive Search and Recruitment firm focused exclusively on the insurance industry across North America since 1986. Our deep industry experience, knowledge and strong relationships enable us to connect leading insurers, insurance brokerage firms and independent adjusting firms with the most talented mid to senior level professionals for each individual leadership role.
As specialists in the insurance industry, we are uniquely positioned to thoroughly understand the issues, trends and challenges affecting both our clients and executive talent. Our experienced consultants include former insurance executives and professionals, giving us unequalled access to the insurance industry’s leading senior executives and firms.
As a member of NIRA (the National Insurance Recruiters Association), we have access to an unparalleled network of US candidates through nearly 50 insurance recruiting specialist affiliates throughout the United States.
Generalist executive search firms may fill one insurance executive position a year: We successfully place multiple senior executives in leading companies in the insurance industry every year. Bottom line: We find and assess great people for the insurance industry.