- Assist in the development and implementation the retail wealth management trade surveillance program covering SLCSI.
- Assist in the development of Trade surveillance policies and procedures.
- Assist in the development of the oversight program policies and procedure.
- Monitor and document daily and monthly head office reviews of client account activity with a focus on criteria outlined in CIRO Policies and other regulatory/corporate guidelines.
- Identify trends developing in trading of specific advisors and/or client accounts with an emphasis on suitability, concentration, potential conflicts of interest, unusual transactions, misleading and deceptive trading practices, conducting detailed analysis and escalating concerns to the TSM and to the director of field supervision where necessary.
- Follow up on inquiries from daily and monthly reviews with TSMs and/or advisors.
- Prepare weekly, monthly, quarterly summaries and ad hoc reports as required.
- Function as a key point of contact and subject matter expert on Surveillance related inquiries and requests from employees and Branches (including advisors, Branch Managers, and support staff)
- Will also be delegated additional core tasks such as email surveillance, reviewing and maintaining pro-accounts and other tasks as warranted.
- Foster a culture of compliance throughout the organization by promoting ethical behavior, accountability, and adherence to regulatory standards.
- Liaise regularly with the other members of the Canadian Compliance team.
- Provide training to new compliance analyst and other staff members.
- Continually evaluate the effectiveness of departmental procedures and participate in developing, maintaining, and implementing changes to the policies and procedures
- Work on special projects as requested.
- University degree or college diploma.
- More than 5 years experience in compliance, supervision, trade surveillance within Financial Services.
- PC literate with advanced knowledge of MS Office (Excel, Outlook, PowerPoint and Word)
- Completion of Canadian Securities Course (CSC)
- Completion of Conduct and Practices Handbook (CPH)
- Completion of Branch Manager Course.
- Ability to work effectively and efficiently in a fast-paced environment.
- Detail oriented, extremely self-motivated, dedicated and a good team player.
- Able to handle multiple tasks and priorities effectively.
- Proven ability to communicate key regulatory concepts to different stakeholders with excellent business acumen, and communication skills both verbal and written.
- 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.
- Ability to navigate within a multi-matrix organization in a fast-paced environment.
- Exercise professional development, strong influencing skills, sound judgement, is comfortable with data and can work in a digital environment.
- Proven ability to build relationships and influence change.
- Hybrid work environment.
- 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.
- Flexible Benefits from the day you join to meet the needs of you and your family.
- 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.
- Work-life balance by scheduling your day around your priorities and having more time to spend on the important things.
- We are honoured to be recognized as a 2023 Best Workplaces in Canada by Great Place to Work Canada.
Compliance Analyst, Trade Supervision - Toronto, Canada - Sun Life
Description
Job Description
:Wealth Management Canada Compliance is looking for a Tier 2 Bilingual Compliance analyst to join their dynamic team, reporting to the Director, Filed Supervision.
The incumbent will be the Tier 2 analyst for Sun Life's new investment dealer, Sun Life Canada Securities Inc. (SLCSI) and Sun life Financial Investment Services (Canada) Inc. (SLFISI) and will assist in the development and implementation of the Tier 2 surveillance and oversight program. The incumbent will have an in-depth knowledge working within CIRO regulated retail compliance regimes and be knowledgeable of CIRO's Investment Dealer Partially Consolidated Rules (formerly IIROC rules) and will have well-rounded knowledge of securities and applicable business conduct compliance requirements.
In this role, the successful candidate will be also expected to perform and collaborate in monitoring client account activity of SLCSI and SLFISI advisors in accordance with Tier 2 internal procedures and regulatory requirements and to actively provide support to SLCSI and SLFISI advisors and Trade Supervision Managers (TSM) on surveillance related issues.
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