• Job Description

  Req#: JR00084645

  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 the Director, Oversight, the Trade Supervision Manager 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.

  Trade Supervision Managers also work in close collaboration with Compliances Best Practices team to identify compliance trends and practices that require coaching and training support.

  What will you do?

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

  • Provide support to Trade Supervision Team Lead in effectively managing queries and other tasks to support trade supervision within the broader team.

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

  • Proactively identify and collaborate with the Compliance Best Practices team to provide training and coaching support for 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

  • Escalate unresolved issues and concerns to Trade Supervision Team Lead (for queries) and/or Director, Oversight (for all other matters) on a timely basis.

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

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

  What do you need to succeed?

  • Branch Manager proficiency (mutual fund dealer), including successful completion of a Branch Manager’s course (IFSE or CSI) and a minimum of two years relevant experience.

  • Branch Manager proficiency (investment dealer) or commitment to become proficient within one year of hire. Proficiency includes a minimum of two years relevant experience and completion of the following: Canadian Securities Course or CFA Level 1 (or higher), Conduct and Practices Handbook, Investment Dealer Supervisor course

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

  • High degree of integrity and ethics; good judgement

  • Exceptional interpersonal and communication skills

  • Excellent organizational and time management skills

  • Bilingualism (French, English, both oral and written) is an asset.

  Other: This role is primarily work-from-home, with very limited travel.

  What's in it for you?

  • A friendly, collaborative and inclusive culture

  • An environment of continuous learning and improvement

  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 thebrightside@sunlife.com .

  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:

  74,100/74 100 - 120,800/120 800

  Job Category:

  Business Analysis - Process

  Posting End Date:

  06/09/2023

• About the company

  Sun Life Financial Inc. is a Canadian financial services company.

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