Avp, Head of Supervision - Montréal, Canada - Sun Life

Sun Life
Sun Life
Verified Company
Montréal, Canada

1 month ago

Sophia Lee

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Sophia Lee

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Description
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.


Reporting to the Vice President, Business Governance & Controls (BG&C), Retail Advice and Solutions (VP), this role is responsible for first line oversight within the Canadian Retail Advice and Solutions (RAS) business, which includes Sun Life Financial Investment Services Canada Inc.

(SLFISI) and Sun Life Financial Distributors Canada Inc. (SLFDI) and their respective products (mutual funds, segregated funds, payout and accumulation annuities, life insurance, health insurance).


You will have extensive wealth and insurance industry experience, with a strong understanding of regulatory requirements as they impact business activities, knowledge of the regulatory environment, including challenges and upcoming trends.


What will you do?
Strategy and Operating Model

  • Develop and evolve the operating model of the first line supervision team that meets all regulatory requirements and expectations, is in line with industry standards and is scalable and sustainable to support business strategy
  • Support the build out of the IIROC dealer from a risk and governance perspective, including supervision
  • Support the integration of third party advisor channel governance and oversight into BG&C's strategy and operating model
  • Establish and maintain a center of expertise on first line compliance issues, collaborating with BG&C colleagues, Risk CoE, Compliance and other business and control partners to ensure consistency with enterprise and external requirements across the various channels in which we distribute our products
  • Promote a strong operational governance, risk management and compliance culture by developing an effective interaction model with the field management team
  • Proactively partner with the Governance Operations and Transformation team to inform and/or lead the development and enhancement of field training programs
  • Manage and address various first line supervision risk and compliance issues and audit findings in a timely manner
  • Own and continually enhance first line supervision policies and processes, including the supervision manual and related training
Continuous Improvement and Project Support

  • Leverage data and analytics to proactively identify first line supervision program performance, control gaps and advisor behaviour trends to continually refine and enhance oversight programs
  • Proactively identify data, reporting, tool and technology needs to improve productivity and execution of first line supervision accountability
People, Capabilities, Culture

  • Build and maintain a highperformance environment and implement a people strategy that attracts, retains, develops, a team of experts aligned to the vision, values and business strategy while fostering an inclusive work environment
  • Establish and promote best practices and consistency across the first line supervision team in collaboration and consultation with Risk CoE and Compliance and in close partnership with field management team
  • Effectively coach and motivate the first line supervision leaders and overall team

What do you need to succeed?

  • Experience working in an OSFIregulated environment, with alignment to a three lines of defense model
  • Proactive and selfmotivated with strong problemsolving abilities to effectively prioritize in a diverse and fast paced environment.
  • Excellent relationship management with a proven ability to build strong partnerships and negotiate and influence a variety of internal and external stakeholders and audiences
  • Bilingualism (French, English) required
- interactions with English speaking partners_

  • For Quebec only_
  • Excellent communication and coaching skills and leader of change
  • Excellent coach and mentor with proven success at leading and developing a high performing team and driving transformation in ways of thinking and doing business.
  • Availability to travel within Canada
  • University degree and 7+ years of progressive experience within the financial services sector with wealth, life, and health insurance products.
  • Successful completion of Canadian Investment Funds Course (IFIC) or Canadian Securities Course (CSI), and the corresponding Branch Managers' exam
  • Successful completion of the OPD or PDO or completion within 6 months
  • Canadian Investment Funds Operations Course is an asset
At Sun Life we strive to create a flexible work environment where our employees are empowered to do thei
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