Compliance Analyst - 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.

Please note this is a 1-year contract opportunity

About the role:

Reporting to the Manager of Field Supervision, the Compliance Analyst is responsible for conducting daily reviews of Mutual Fund account trading activity, engaging Regulatory Practices Managers (RPM) and/or managers with suitability inquiries, escalating potential deficiencies to the Manager of Field Supervision, performing ongoing and periodic analysis, testing and trending reporting related to the sales activities of advisors.

What will you do?

Review the previous day's Mutual Fund trading activity in accordance with Regulatory requirements and internal policies
Follow up on trade inquiries to ensure all identified deficiencies are promptly corrected
Monitor Segregated Fund sales and trading activity in accordance with internal policies
Produce various reporting as required, daily, weekly, and monthly
Conduct oversight testing of tier 1 supervision
Carefully document and file all tier 2 review activities within head office trade databases
Participates in projects as needed
Other duties as required

What do you need to succeed?

3 5 years of relevant working experience in financial services or a postsecondary education in a related field
Completion of the IFIC Branch Managers' Examination Course
Excellent communications skills, written and verbal
Auditing background
Ability to work independently and as a member of a team
Strong research and analytical skills
Strong relationship management skills
Strong Mutual Fund and Insurance product knowledge
Above average knowledge of individual advisor business environment
Above average computer skills: Microsoft Power Point, Excel, Access Univeris, eCISS, Customer Service Workbench (CSW), MLIF

For Quebec applicants

Bilingualism (French, English) required

- immediate manager is a unilingual Anglophone outside Quebec

Preferred Skills:

Completion of IFIC Canadian Investment Funds, or Canadian Securities Course (CSC)
Experience working with advisors and/or Career Sales Force
Experience working with large data sets, VBA, SQL and/or Tableau

For Ontario applicants

Bilingual (English & French)

Unique Requirements:

Extra hours may be required during periods with high mutual fund trading volumes

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
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

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:

51,100/ ,800/82 800

Job Category:

Compliance

Posting End Date:

23/04/2023