Insurance Compliance Specialist
Location: Hybrid within Atlantic Canada
At CU Financial Management, we are committed to delivering exceptional financial planning services that empower individuals, families, and businesses to achieve their financial goals. As industry leaders, we leverage cutting-edge technology to provide comprehensive financial planning solutions to clients across the region. Our dedication to client success and financial planning excellence sets us apart, and we take pride in the impact we make on our clients' financial well-being. We’re invested in Atlantic Canada. We live here, we work here, and we know that when our clients are successful, our communities thrive.
About us
In 2020, a group of innovative Atlantic Canadian credit unions came together to ensure their members had access to top-tier financial advice. They brought together professional advisors from across the region to build an organization grounded in the values that their members know and trust. Today, CU Financial Management supports members and non-members, providing expert advice across our four provinces.
Check out our story: cufm.ca/about-us
What we offer
We offer a competitive compensation package, including a competitive salary, performance-based bonuses, comprehensive benefits, administrative support, and opportunities for professional growth and development. Our commitment to employee well-being includes a supportive, flexible work environment, continuous learning, and the opportunity to make a meaningful impact on our clients' financial lives.
We are honoured to have been named one of Atlantic Canada's Best Places to Work in 2024 and 2026 by Atlantic Business Magazine and to have been recognized as a Top Employer in 2024 by Wealth Professional Canada.
The Role
The Insurance Compliance Specialist is a non-sales support role responsible for providing centralized oversight, administration, and compliance support for CU Financial Management’s insurance business.
This position will serve as the primary internal resource for insurance-related matters across the organization, providing support to Advisors and Investment Associates while ensuring insurance activities are administered in accordance with regulatory requirements, carrier expectations, and CU Financial Management policies and procedures.
The Specialist will assume responsibility for the coordination and administration of CU Financial Management’s existing segregated fund business, insurance renewals, licensing and contracting requirements, advisor onboarding, APEXA administration, and insurance-related Anti-Money Laundering and Anti-Terrorist Financing (AML/ATF) controls.
The role also provides an important internal review and quality assurance function by reviewing insurance files and processes to identify documentation gaps, compliance concerns, and follow-up needs.
The Insurance Compliance Specialist supports CU Financial Management’s Advisors and Associates and provides organizational oversight without assuming responsibility for providing insurance advice or generating new sales.
Key Responsibilities
- Serve as CU Financial Management’s primary internal resource for insurance administration, compliance and operational support, providing centralized support to Advisors and Investment Associates.
- Manage the administration and servicing of CU Financial Management’s existing segregated fund business, including ongoing documentation and compliance requirements.
- Coordinate post-delivery servicing requirements for all in-force insurance and segregated funds.
- Conduct insurance file reviews and internal compliance audits to identify documentation gaps, deficiencies and potential compliance concerns, and coordinate appropriate follow-up.
- Coordinate the onboarding, licensing and contracting of new Insurance Advisors, including carrier requirements and internal documentation.
- Manage CU Financial Management’s APEXA administration, including Advisor profiles, contracting requirements, attestations and organizational records.
- Manage Corporate Life Insurance License renewals and monitor ongoing corporate and Advisor insurance licensing requirements.
- Oversee the insurance-related components of CU Financial Management’s AML/ATF program and internal controls, including file reviews, documentation requirements and ongoing compliance monitoring.
- Maintain and enhance insurance-related policies, procedures, controls, checklists and tracking processes to promote consistency and regulatory compliance across the organization.
- Monitor regulatory, licensing and carrier requirements affecting CU Financial Management’s insurance business and provide guidance to Advisors, Associates and management as required.
- Provide centralized oversight of insurance-related operational and compliance matters, escalating significant issues and supporting regulatory, carrier and internal compliance reviews as required.
Minimum Qualifications, Skills, and Experience
- 3 to 5 years of experience in insurance operations, insurance compliance, Advisor support, MGA/carrier administration, or a comparable financial services environment.
- Active Life Insurance License, and eligibility to maintain an active license in the jurisdictions required by CU Financial Management.
- Formal training or certification in AML/ATF, compliance, risk management, or financial services compliance would be considered an asset.
- Strong working knowledge of the Canadian life insurance industry, including life and health insurance and segregated fund products.
- Experience with insurance administration, compliance, Advisor support, carrier operations, or a related financial services function.
- Working knowledge of insurance regulatory and compliance requirements, including Advisor licensing, documentation, client identification, privacy, and record-keeping requirements.
- Understanding of AML/ATF requirements applicable to the life insurance and financial services industry.
- Demonstrated ability to review files and documentation with a strong attention to detail and identify missing, inconsistent, or potentially non-compliant information.
- Strong organizational and time-management skills, with the ability to manage multiple renewals, deadlines, Advisor requests, and regulatory requirements simultaneously.
- Strong written and verbal communication skills and the ability to communicate compliance requirements clearly and practically.
- Ability to work collaboratively with Advisors, Associates, management, carriers, regulators, and external partners.
- Strong judgment and discretion when handling confidential client, Advisor, compliance, and organizational information.
- Comfortable working with Microsoft 365 and learning insurance carrier, regulatory, and compliance platforms.
- Experience developing or maintaining policies, procedures, compliance checklists, or internal control frameworks would be considered an asset.
At CU Financial Management, we embody a set of core values: Ethics, Responsibility, Trust, Community, Expertise, and Empathy. We are not just looking for qualifications but also for individuals who share and demonstrate these values.
We are dedicated to fostering a culture of growth and development. As an employee, you'll have access to opportunities for advancement. Excelling in your role opens doors to greater responsibility, skill development, and career advancement within our rapidly growing organization.
We're committed to your growth because we believe in growing together. We'd love to hear from you if you seek a challenging and rewarding opportunity with a company that values your contributions and actively supports your professional journey.
How to Apply
If you’re an experienced insurance professional with a strong compliance mindset who is ready to contribute to the success of a leading financial planning firm in Atlantic Canada, we’d love to hear from you.
Application Deadline: October 23, 2026
Compensation: $65,000 to $75,000 base salary, plus an annual performance-based bonus. CU Financial Management may consider compensation above the stated range for candidates with exceptional experience, qualifications, or credentials.
Location: Hybrid within Atlantic Canada. Depending on the successful candidate’s location, the role may include working part of the week from one of CU Financial Management’s 13 office locations across Atlantic Canada.
We thank all applicants for their interest. Only candidates selected for an interview will be contacted.
