Branch Examiner - Waterloo, Canada - Sun Life

Sun Life

Verified Company

Waterloo, Canada

3 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:

Branch Examiner is responsible for performing ongoing and periodic analysis and supporting the Market Conduct Audit (MCA) program for the Sun Life Financial Distribution channel.

The incumbent will mainly assist with compliance testing, and action plan resolutions for mutual fund.

What will you do?

Assist with execution of Market Conduct Audits, including conducting advisor interviews and desk file audits against mutual fund regulatory requirements, and dealer policies and procedures
Completing location visits for registered advisor business addresses
Conduct preaudit data collection and analysis for Market Conduct Audits
Actively follow up on outstanding audit findings
Support the maintenance and continuous improvement of the Market Conduct Audit program
Assist with daily review of the centralized team mailbox to address inquiries
Perform other duties and special projects as assigned time to time

What do you need to succeed?
years experience assisting with and/or completing compliance audits or tests

Knowledge and experience of industry compliance standards and practices
Strong research and analytical skills
Good working knowledge of mutual fund distribution systems
Strong interpersonal and communication skills and ability to negotiate at all levels of the organization
Adaptability, exceptional organizational skills, and strong attention to detail
High proficiency with technology: Microsoft Excel, Access, Univeris, Customer Service Workbench (CSW)
High degree of integrity and ethics
Expected to complete the Branch Managers Course within the first 3 months of hiring

For Quebec applicants

Bilingualism (French, English) required

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

Preferred Skills:

University or College degree related to accounting, business or compliance
Sun Life Distribution channel experience or knowledge
Understanding of commission arrangements, advisor contracts and the code of business practice for advisors
Knowledge of life/health/insuredwealth product lines
Salesforce experience

For Ontario applicants

French Bilingualism is considered an asset

Unique Requirements:

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.
Valid Driver's license
May 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:

53,300/ ,300/86 300

Job Category:

Compliance

Posting End Date:

26/02/2023