procedures, and controls to mitigate regulatory risks and ensure adherence to relevant legislation. · Collaborate with other departments, such as legal, risk management, and operations, to ensure alignment Success Looks Like: FAIS Compliant No defect in risk management (RI treaty breaches) Retention of client condition that they have their minimum 120 FAIS credits, RE1 and RE5 experience, Class of Business for
procedures, and controls to mitigate regulatory risks and ensure adherence to relevant legislation. · Collaborate with other departments, such as legal, risk management, and operations, to ensure alignment Success Looks Like: FAIS Compliant No defect in risk management (RI treaty breaches) Retention of client condition that they have their minimum 120 FAIS credits, RE1 and RE5 experience, Class of Business for