Compliance Investigator

  • ClassificationLegal and compliance
  • Salary$70,000 ~ $90,000
  • Work typeFull-time
  • LocationAlberta, Canada
  • Posted on12 Jul 2017
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Alberta Insurance Council

Compliance Investigator


The Alberta Insurance Council and the Ministry of Treasury Board and Finance work together to ensure consumers are protected and companies, insurance adjusters and insurance agents operate at the highest standards.  There are four Insurance Councils, The Alberta Insurance Council, the Insurance Adjusters’ Council, the General Insurance Council and the Life Insurance Council.  The Alberta Insurance Council is the financial arm of the Councils and provides investigation and administrative services to the other councils.  The Alberta Insurance Council also provides administrative services to the Continuing Education Accreditation Committee appointed by the Minister of Finance.  The Insurance Adjusters’ Council, General Insurance Council and the Life Insurance Council are the regulatory bodies responsible for licensing and discipline of insurance agents, brokers and adjusters in the Province of Alberta.  The Councils are formed under the Insurance Act and they derive their authority under a delegation from the Minister of Finance for the province. The Alberta Insurance Council has jurisdiction to investigate complaints against insurance agents, brokers and agencies, and against independent claims adjusters and adjusting firms. Our mission is to Protect the Alberta insurance consumer through the regulation of insurance intermediaries. 

Reports To:  Director of Compliance

Job Summary: 

Compliance Investigators investigate complaints submitted by consumers, agents, adjusters, and insurance companies, as well as by the police and other regulatory bodies, to determine if there has been a violation of the Insurance Act or Regulations made under the Insurance Act.  All complaints must be reviewed in a fair, objective and effective manner.     


§  Planning and conducting investigations, including analyzing information and documentation received from various sources in order to assess allegations of misconduct and to determine compliance with the legislation.

§  Documenting findings in a clear manner.

§  Interviewing various parties via written correspondence, over the telephone and/or in person as is appropriate to circumstances. 

§  Preparing and delivering documentary evidence in the form of a formal report for consideration by the industry Councils and, ultimately, for adjudication and publication.

§  Answering inquiries from industry members and the general public on various insurance-related issues.

§  Conducting onsite reviews providing education and/or feedback to strengthen regulatory and compliance regimes within stakeholder groups.

§  Conducting web-based presentations to industry stakeholders with respect to compliance requirements

§  Testifying in a court-like setting.

§  Maintaining current market knowledge to recommend proactive approaches to industry trends or concerns.

§  Conducting audits of mandatory requirements such as continuing education and E&O insurance.

§  Handling special projects as assigned by senior management, such as Document Retention and Destruction protocols, etc.


Education and Experience:

§  Relevant post-secondary education.

§  Minimum of 3 years’ experience in the life insurance field.

§  Experience in the general insurance field desirable.

§  Solid knowledge of the Insurance Act and Regulations

§  Compliance, audit or related experience preferred.


Attributes and Skills: 

§  Curious, proven decision-making ability and judgment.

§  Resourceful.

§  Excellent verbal and written communication abilities.

§  Ability to manage multiple conflicting priorities.

§  Strong presentation and public speaking ability.

§  Independent thinker and a self-starter.

§  Results-oriented.

§  Technology knowledge and skills.


Some local travel within Alberta is required. 

The successful candidate will be located in either the Calgary or Edmonton office of the Alberta Insurance Council.  

Interested and qualified applicants should send their CV to  


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