Job Description Summary

Reporting to the Compliance Manager, the Compliance Officer (Field Auditor) will conduct field office examinations in an effort to monitor and assess adherence to World Financial Group Canada Inc. policies and procedures and industry regulation. The Compliance Officer (Field Auditor) will use the information obtained during the course of field office examinations to assess potential risk and determine future education and policy requirements.

Responsibilities

• Prepare for onsite audit in accordance with Audit Program utilizing current systems and Head Office resources.
• Conduct daily onsite audits of field/branch offices which include file/systems review along with Advisor Interviews.
• Prepare Branch Audit Reports.
• Ensure Closure of Branch Audit.
• Conduct compliance training at branch locations.
• Schedule Audit calendar and report findings to Senior Management.
• Consistently asse...