- 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 in-person office visits, including interviews and file reviews at 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
- 4-6 years of mutual fund distribution compliance testing or audit experience
- Undergraduate degree in Business, Accounting or Finance, or equivalent experience
- Interpersonal and communication skills at all levels of the organization
- Ability to prioritize responsibilities, and complete deliverables and tasks in a deadline-focused environment.
- Analytical, organizational, and problem-solving skills.
- Experience with SalesForce, Univeris, NRD and Microsoft Office software
- Ability to work independently as well as in a team and manage multiple priorities and timelines.
- Completion of the Branch Managers Course within 3 months of hire
- 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.
- Mandarin language skills would be considered an asset for this role.
- Must possess valid Driver's license
- Extensive travel across Canada, including travel to remote advisor office locations. The travel requirement could be up to 30%.
- 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
District Regulatory Review Manager - Waterloo, Canada - Sun Life
Description
Job Description
:Reporting to the Director, District Regulatory Review within the Business Governance and Controls function (BG&C) within Retail Advice & Solutions, this role is responsible for executing business location compliance audits program for Sun Life Financial Investment Services (Canada) Inc. (SLFISI) to comply with the Canadian Investment Regulatory Organization (CIRO) Rule 500 requirements (mutual funds). The District Regulatory Review Manager (DRM) will work closely with field leaders, advisors, tier 1 supervision, and other compliance teams.
You will have in-depth knowledge and experience in a broad range of products and services offered by SLFISI, with a strong understanding of regulatory requirements as they impact business activities, including regulatory and industry trends.
What will you do:
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Unique requirements:
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