Compliance Audit Manager - Toronto, Canada - Sun Life

Sun Life

Verified Company

Toronto, Canada

2 weeks ago

Posted by:

Sophia Lee

beBee Recruiter

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.

About the role:

The Compliance Audit Manager (CAM) reports directly to the Director, Market Conduct Audits and works closely with other compliance teams.

The incumbent will have strong audit/testing skills and be able to provide reasonable and informed recommendations to address test findings.

What will you do?

Plan, and execute regulatory compliance reviews.
Interview advisors, business management, and Tier 1 supervisory team
Test controls and compliance with mutual fund rules & regulations and Sun Life's policies and procedures
Complete office visits/reviews for mutual fund registered locations
Identify and document issues, determine root cause, and recommend corrective actions
Write clear and concise reports summarizing the risk, findings, recommendations, and action plans
Follow up on outstanding audit findings and the status of findings/issues
Keep current on mutual fund regulations, laws, and industry practices
Audits are currently completed remotely but travel may be required for assigned district visits in the future.

What do you need to succeed?

Undergraduate degree in Business, Accounting or Finance is required
46 years of compliance testing or audit experience
Exceptional interpersonal and communication skills at all levels of the organization
Ability to prioritize responsibilities, and complete deliverables and tasks in a deadlinefocused environment.
Strong analytical, organizational, and problemsolving skills.
Experience with SalesForce, Univeris, and Microsoft office
Ability to work independently as well as in a team and manage multiple priorities and timelines.
Successful completion of the Branch Managers Course within 3 months of hire

For Quebec applicants

Bilingualism (French, English) required

- interactions with English-speaking partners and immediate manager is a unilingual Anglophone outside Quebec

Preferred Skills:

For Ontario applicants
French Bilingualism is considered an asset

Unique Requirements:

Must possess valid Driver's license
Extensive travel across Canada, including travel to remote advisor office locations. The travel requirement could be up to 50%. Note, the role does not require traveling due to the current COVID19 restrictions. This may change with updated regulatory and Sun Life work travel policies and guidance.
Will have to complete Enhance Reliability clearance

What's in it for you?

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
The opportunity to move along a variety of career paths with amazing networking potential
An environment of continuous learning and improvement
Access to our Global Learning Centre, available 24/7 for your learning needs
Wellness programs that support the three pillars of your health mental, physical and financial

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/ ,800/120 800

Job Category:

Compliance

Posting End Date:

30/03/2023