You are as unique as your background, experience and point of view. Here, you’ll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you'll have new and exciting opportunities to make life brighter for our Clients - who are at the heart of everything we do. Discover how you can make a difference in the lives of individuals, families and communities around the world.

Job Description:

The Business Governance & Controls (BG&C) team is responsible for first line oversight within the Canadian Retail Advice and Solutions (RAS) business and works closely with advisors and field leaders to help advisors build and maintain compliant business practices, meet evolving regulatory expectations, all while putting the Client’s interests and experience first.

 

Reporting to a Manager, Trade Supervision Oversight, this Trade Supervision Manager (“TSM”) is part of a team which provides first-line oversight of trading and other activities of advisors and field leaders to ensure we are meeting regulatory obligations and Sun Life policies.

What will you do?

• Conduct Tier 1 supervision activities, including daily and monthly trade reviews, close supervision and new registrant supervision.

• Effectively managing queries and other tasks to support trade supervision within the broader team.

• Escalate unresolved issues and areas of concern to the Manager, Trade Supervision Oversight.

• Through daily trade review activities identify and help resolve issues impacting risk, regulatory requirements, and our policies and procedures.

• Proactively collaborate with the Compliance Best Practices team to identify issues and provide training and coaching to field leaders and advisors to improve compliance outcomes.

• Proactively identify and share opportunities for improvement in policies, processes, tools, and reporting across the compliance ecosystem

• Collaborate with Trade Supervision team members and with other BG&C colleagues to achieve BG&C objectives.

• Stay current with industry and regulatory knowledge and expectations through continued education.

• Complete other duties as assigned.

What do you need to succeed?

• Strong knowledge of and experience with mutual fund industry compliance standards and practices

• Excellent organization and time management skills

• High degree of integrity and ethics; good judgement

• Interpersonal and communication skills

• Bilingualism (French, English, both oral and written) is required for the frequent interactions with English and French-speaking colleagues or internal partners across Canada and worldwide.

• Investment Dealer Branch Manager Proficiency is an asset

Mutual Fund Dealer Branch Manager proficiency which includes 2 years experience in a registered capacity and completion of any one of the following:

• Branch Manager’s Course Exam (CSI)

• Mutual Fund Branch Manager’s Examination Course Exam (IFSE)

• Branch Compliance Officers Course Exam (CSI)

Along with one of the three courses required to be a Dealing Representative of a Mutual Fund Dealer:

• Canadian Investment Funds Course Exam

• The Canadian Securities Course Exam

• The Investment Funds in Canada Exam

What's in it for you?

• Being a member of the Sun Life family, a group of people united by our Purpose: to help Clients and Employees achieve lifetime financial security and live healthier lives.

• Flexible Benefits from the day you join to meet the needs of you and your family.

• We are proud to be on the 2024 Best Workplaces in Canada list by Great Place to Work.

• We’re also listed as one of the Best Workplaces for Women and Best Workplaces with Most Trusted Executive Teams.

• Join one of our many Inclusion Networks. These voluntary, employee-led groups are dedicated to creating connection, fostering inclusivity, and building community.

• Charitable giving through our You Give, We Give program lets you give back to your community – and in many cases, we’ll match your contributions.

The Base Pay range is for the primary location for which the job is posted.  It may vary depending on the work location of the successful candidate or other factors.  In addition to Base Pay, eligible Sun Life employees participate in various incentive plans, payment under which is discretionary and subject to individual and company performance.  Certain sales focused roles have sales incentive plans based on individual or group sales results. 

Diversity and inclusion have always been at the core of our values at Sun Life. A diverse workforce with wide perspectives and creative ideas benefits our clients, the communities where we operate and all of us as colleagues. We welcome applications from qualified individuals from all backgrounds.

Persons with disabilities who need accommodation in the application process or those needing job postings in an alternative format may e-mail a request to [email protected].

At Sun Life we strive to create a flexible work environment where our employees are empowered to do their best work. Several flexible work options are available and can be discussed throughout the selection process depending on the role requirements and individual needs.

We thank all applicants for showing an interest in this position. Only those selected for an interview will be contacted.

Salary Range:

56,000/56 000 - 93,000/93 000

Job Category:

Business Analysis - Process

Posting End Date:

11/12/2024