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Job Description:

Wealth Management Canada Compliance is looking for a Bilingual Compliance analyst, Surveillance and Monitoring to join their dynamic team, reporting to the Director, Filed Supervision.

The incumbent will be the Tier 2 Bilingual compliance analyst for Sun Life’s new investment dealer, Sun Life Canada Securities Inc. (SLCSI) and Sun Life Financial Investment Services Canada Inc. (SLFISI). The incumbent will have in depth knowledge working within CIRO regulated retail compliance regimes and be knowledgeable of CIRO’s Investment Dealer Partially Consolidated Rules (formerly IIROC rules) and the Mutual Fund Dealer Rules (Formally MFDA rules) and will have well-rounded knowledge of securities and applicable business conduct compliance requirements.

In this role, the successful candidate will be also expected to perform and collaborate Tier 2 surveillance and monitoring client account activity of SLCSI and SLFISI advisor, in accordance with Tier 2 internal procedures and regulatory requirements and to actively provide support to SLCSI and SLFISI advisors, the Trade Supervision Manager (TSM) and Corporate Branch Manager on surveillance related issues.

What You Will Do

• Monitor and document daily and monthly head office reviews of client account activity with a focus on criteria outlined in CIRO Policies and other regulatory/corporate guidelines.

• Identify trends developing in trading of specific advisors and/or client accounts with an emphasis on suitability, concentration, potential conflicts of interest, unusual transactions, misleading and deceptive trading practices, conducting detailed analysis and escalating concerns to the TSMs or CBMs and to the director of field supervision where necessary.

• Follow up on inquiries from daily and monthly reviews with CBMs, TSMs and/or advisors.

• Prepare weekly, monthly, quarterly summaries and ad hoc reports as required.

• Function as a key point of contact and subject matter expert on surveillance related inquiries and requests from employees and Branches (including advisors, Corporate Branch Managers, and support staff)

• Will also be delegated additional core tasks such as email surveillance, reviewing and maintaining pro-accounts and other tasks as warranted.

• Will be delegated additional projects as warranted

• Foster a culture of compliance throughout the organization by promoting ethical behavior, accountability, and adherence to regulatory standards.

• Liaise regularly with the other members of the Canadian Compliance team.

• Continually evaluate the effectiveness of departmental procedures and participate in developing, maintaining, and implementing changes to the policies and procedures

• Work on special projects as requested.

What You Will Bring

• University degree or college diploma

• 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.

• More than 3 years experience in compliance, supervision, trade surveillance within Financial Services.

• PC literate with advanced knowledge of MS Office (Excel, Outlook, PowerPoint and Word)

• Completion of Canadian Securities Course (CSC)

• Completion of Conduct and Practices Handbook (CPH),

• Completion of Branch Manager Course

• Ability to work effectively and efficiently in a fast-paced environment.

• Detail oriented, extremely self-motivated, dedicated and a good team player.

• Able to handle multiple tasks and priorities effectively.

• Proven ability to communicate key regulatory concepts to different stakeholders with excellent business acumen, and communication skills both verbal and written.

• Ability to navigate within a multi-matrix organization in a fast-paced environment.

• Exercise professional development, strong influencing skills, sound judgement, is comfortable with data and can work in a digital environment.

• Proven ability to build relationships and influence change.

What’s in it for you?

• The opportunity to move along a variety of career paths with amazing networking potential.

• An environment of continuous learning, development, and improvement

• 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.

• Wellness programs that support the three pillars of your health – mental, physical, and financial.

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:

Compliance

Posting End Date:

23/10/2024