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:
Reporting to the Director, District Regulatory Review within the Business Governance and Controls function (BG&C) within Retail Advice & Solutions, this role is responsible for executing business location compliance audits program for Sun Life Canada’s investment dealer to comply with the Canadian Investment Regulatory Organization (CIRO) requirements. The Regulatory Review Manager will work closely with field leaders, advisors, tier 1 supervision, and other compliance teams.
You will be accountable for development, continuous improvement and execution of Sun Life Canada Securities Inc. (SLCSI) business location compliance audit program. You will also play a key role in supporting change within the organization as the CIRO evolves its rules, requirements and expectations.
You will have in-depth knowledge and experience in a broad range of products and services offered by SLCSI, with a strong understanding of regulatory requirements as they impact business activities, including regulatory and industry trends.
What will you do:
- Own and continually enhance Regulatory Review program, including development/updating of procedures, manuals and related training
- Plan and execute regulatory compliance reviews of business locations, advisors, field leaders and tier 1 supervision team. This includes evidence-based testing and interviews. Registered location visits are completed in-person and the locations are registered across Canada.
- Identify and document issues, determine root cause, and recommend corrective actions
- Proactively identify data, reporting, tool and technology needs to improve productivity and accuracy of the program
- Write clear and concise reports summarizing the risk, findings, recommendations, and action plans
- Follow up on outstanding Review findings and the status of findings/issues
- Keep current on investment dealer regulations, laws, and industry practices
- Cross-trained on Sun Life mutual fund regulatory review program
- Perform ad-hoc duties, cross-trained to support mutual fund branch reviews and special projects as assigned
What do you need to succeed:
- Growth mindset – willing to challenge status quo and lead change
- Judgment skills
- Interpersonal and communication skills at all levels of the organization
- Works consistently with urgency and purpose.
- Ability to prioritize responsibilities, and complete deliverables and tasks in a deadline-focused environment.
- Analytical, organizational, and problem-solving skills.
- Previous experience working collaboratively in a matrixed organization and managing complex projects is an asset.
- University or college degree and 4+ years of progressive compliance testing or audit experience within the financial services sector with wealth, life, and health insurance products; at least 2 years relevant experience working for an investment dealer.
- Successful completion of Canadian Securities Course OR CFA Level 1 (or higher)
- 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.
- Completion of Branch Managers Course is an asset.
Unique requirements:
- Must possess valid Driver’s license
- Extensive travel across Canada, including travel to remote registered locations. The travel requirement could be up to 30%.
Why join Sun Life:
- 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
- A friendly, collaborative and inclusive culture
- A collaborative and interactive team environment
- Being part of our journey in developing the next greatest digital experience
- Working together, sharing common values and encouraging growth & achievement
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:
76,000/76 000 – 125,000/125 000
Job Category:
Compliance
Posting End Date:
20/02/2024
