- Conduct Tier 1 supervision activities, including daily/monthly trade reviews, close supervision, new registrant supervision as a back-up TSM.
- Provide support to Trade Supervision Team Leads in effectively managing queries and other tasks to support trade supervision within the broader team.
- Through daily trade review activities identify and help resolve issues impacting risk, regulatory requirements, and our policies and procedures.
- Proactively identify issues and coaching opportunities for field leaders and advisors to improve compliance outcomes.
- Proactively identify and share opportunities for improvement in policies, processes, tools, and reporting across the compliance ecosystem
- Collaborate with Trade Supervision team members and with other BG&C colleagues to achieve BG&C objectives.
- Complete other duties as assigned.
- Mutual Fund and Investment Dealer Branch Manager proficiency, which includes a minimum of four years relevant experience and completion of the following: Canadian Securities Course OR CFA Level 1 (or higher) Conduct and Practices Handbook Mutual Fund Supervisor course Investment Dealer Supervisor course
- Knowledge of and experience with mutual fund industry compliance standards and practices
- Integrity and ethics; good judgement
- Interpersonal and communication skills
- Organizational and time management skills
- 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.
- A friendly, collaborative and inclusive culture
- An environment of continuous learning and improvement
Bilingual Trade Supervision Manager - Montreal, Canada - Sun Life
Description
Job Description
:Contract: 12 months
The Business Governance and Controls (BG&C) team is responsible for first line oversight within the Canadian Retail Advice and Solutions (RAS) business and works closely with advisors and field leaders to help advisors build and maintain compliant business practices, meet evolving regulatory expectations, all while putting the Client's interests and experience first.
Reporting to the Director, Wealth Oversight Programs, the contract Trade Supervision Manager (TSM) provides back-up first-line oversight of trading and other activities of advisors and field leaders to ensure we are meeting regulatory obligations and Sun Life policies.
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