Compliance Analyst

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 Manager of Field Supervision, the Compliance Analyst is responsible for conducting daily reviews of Mutual Fund account trading activity, engaging Trade Supervision Managers (TSM) and/or other supervision staff on suitability inquiries, escalate potential deficiencies to the Manager of Field Supervision, performing ongoing and periodic analysis, testing and trending reporting related to the sales activities of advisors.

What you will do:

• Conduct, monitor and document daily and monthly head office reviews of client account activity with a focus on criteria outlined in CIRO Rule 200 and other regulatory/corporate guidelines

• Identify trends developing in trading of specific advisors and/or client accounts with an emphasis on suitability, concentration, potential conflict of interest and unusual transactions, conducting detailed analysis, escalating concerns to the Manager of Field Supervision where necessary

• Follow up on supervisory inquiries from daily and monthly reviews with the branch managers, Tier 1 leadership team and/or advisors

• Prepare weekly/monthly/quarterly summaries of follow up work and ad hoc report as required

• Function as a point of contact and resource of Field supervision inquiries and requests from Trade Supervision Managers, Managers of Trade Supervision Oversight, any other supervisory staff and support staff

• Compliance analyst will also be delegated additional core tasks such as email surveillance, reviews and maintaining pro-accounts and other compliance projects when necessary

• Provide training to new analysts and other staff members

• Continually review the firm’s compliance procedure and changes to the procedure and evaluate the effectiveness of departmental procedures and participate in developing, maintaining, and recommending changes to the policies and procedure

• Conduct oversight testing of Tier 1 supervision

• Carefully document and file Field supervision review activities within head office trade databases

What do you need to succeed: 

• 2 to 5 years experience within the financial services, previous experience in a mutual fund dealership setting, experience in sales support, compliance, or supervision

• Excellent communications skills

• Auditing background

• Ability to work independently and as a member of a team

• Strong research and analytical skills

• Strong relationship management skills

• Strong Mutual Fund knowledge

• Above average knowledge of individual advisor business environment

• Above average computer skills: Microsoft Power Point, Excel, Access, Univeris, eCISS, Customer Service Workbench (CSW), MLIF

• Completion of the IFSE Branch Managers’ Examination Course

• Completion of the IFSE Exchange-Traded Funds Course

• Completion of the IFSE Investing in Alternative Mutual Funds and Hedge Funds Course

• As this position is posted in several locations, we specify that bilingualism (French, English, both oral and written) is required for Quebec only for the frequent interactions with English and French-speaking colleagues or internal partners across Canada or worldwide.

Assets:

• Completion of IFSE Canadian Investment Funds, or Canadian Securities Course

• Experience working with advisors and/or Career Sales Force

• Experience working with large data sets, VBA, SQL and/or Tableau

Notes/Unique requirements: 

• Successful completion of the IFIC Branch Managers’ Examination course is required within 3 months

• Extra hours may be required during periods with high mutual fund trading volumes

What's in it for you?

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

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

• We’re committed to creating an inclusive and respectful environment. Our goal is to make sure all our employees have the chance to live up to their full potential

• We’re honoured to be recognized as a 2023 Best Workplaces in Ontario by Great Place to Work® Canada

• We are thrilled to be recognized by Excellence Canada with their top-level certification, the Canada Order of Excellence for Mental Health at Work®, for prioritizing employee well-being, fostering a positive work culture, and achieving excellence in mental health

*LI-NB1

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:

54,000/54 000 - 91,000/91 000

Job Category:

Compliance

Posting End Date:

22/11/2024