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.

Job Description:

Reporting to the Director, Regulatory Programs and Initiatives, Business Governance & Control, this role focuses on building oversight standards and programs for Retail Advice and Solutions (RA&S).

Specifically, you will assist with the continuous enhancement of regulatory policies and procedures library for Sun Life Canada Securities Inc. (Securities dealer) and Sun Life Financial Investment Services Inc.(Mutual funds dealer). You will partner closely with the investment dealer operating team and second line partners for the redesign of the Compliance Policies and Procedures along with changes within the organization as the Canadian Investment Regulatory Organization (CIRO) evolves its rules and requirements. 

You will bring a background in wealth and will have in-depth knowledge and experience in a broad range of products and services offered by investment dealers, with a strong understanding of regulatory requirements as they impact business activities such as sales, marketing and operations. You will have designed and implemented oversight programs and will be responsible for researching, designing and implementing programs that meet regulatory expectations in an advisor-friendly and client-centric way.

What will you do?
Investment Dealer

Collaborate with a cross-functional program team to redesign the Sun Life Canada Securities Inc.(SLCSI) & Sun Life Financial Investment Services Inc. (SLFISI) Compliance Manual.

Develop, document and maintain business policy/procedures, updating and obtaining approvals as regulations or the operating environment changes and communicate changes to the applicable groups. 

Support the creation of required regulatory artifacts for SLCSI & SLFISI business governance and controls, such as supervision manuals, regulatory control libraries, and policies and procedures. 

Establish effective working relationships with others in the Investment Dealers, Sun Life compliance and regulatory groups, Professional Services, Distribution teams, and other stakeholders to ensure integration and alignment of plans and strategies.

Act as the point person for the coordination of regulatory audits/exams

Regulatory Projects

Assist with managing the CIRO Rule Book consolidation efforts and act as SME considering implications and design solutions for both the mutual fund and securities lines of business.

Participate in projects related to regulatory change and stay up to date with industry changes and evolving regulatory expectations, understanding the business implications and opportunities of regulatory change.

Support projects and initiatives to ensure effective controls and oversight are put in place.

Continuous Improvement 

Identify opportunities for wealth program alignment or consolidation across dealers, leading redesign and implementation.

Support investment dealer initiatives and strategies by providing subject matter expertise to ensure effective and efficient controls and oversight programs are put in place and/or are enhanced.

What you need to succeed?

Relevant Wealth experience and post-secondary degree in related field of study or an equivalent combination of education and experience. 

Extensive knowledge and understanding of regulatory requirements for investment dealers regulated by the Canadian Investment Regulatory Organization (CIRO) and Ontario Securities Commission (OSC).

Experience working in an OSFI-regulated environment, with alignment to a three lines of defense model. 

Foster a culture of performance, inclusion and recognition to lead a team delivering innovative solutions and programs.

An understanding of how people go through change, with prior experience leading a team through change; comfortable with ambiguity.

Organizational savvy and ability to navigate cross-functionally within a complex matrixed organization.

Strong project and program management skills.

Excellent communication skills (written and oral) including the ability to influence and negotiate.

An asset is previous successful completion of the following:

Canadian Securities Course (CSC)

Conduct and Practices Handbook (CPH)

Investment Dealer Supervisor Course (formerly Branch Manager's Course)

What’s in it for you?

Working within a high-performance culture. The opportunity to move along a variety of career paths with amazing networking potential

Supportive working environment, culture of collaboration.

Talented and diverse workforce; opportunity to launch a rewarding career.

A company that promotes health, wellness, and work/life balance.

We encourage our employees to champion continuous improvement.

Flexible Benefits from the day you join to meet the needs of you and your family

Pension Plan participation starts immediately, and you are automatically enrolled. We help you save more with Sun Life automatic and matching contributions and by including both your salary and bonus when making

contributions.

We’re honoured to be recognized as a 2024 Best Workplace in Canada by Great Place to Work® Canada

The Base Pay range is for the primary location for which the job is posted.  It may vary depending on the work location of the successful candidate or other factors.  In addition to Base Pay, eligible Sun Life employees participate in various incentive plans, payment under which is discretionary and subject to individual and company performance.  Certain sales focused roles have sales incentive plans based on individual or group sales results. 

Diversity and inclusion have always been at the core of our values at Sun Life. A diverse workforce with wide perspectives and creative ideas benefits our clients, the communities where we operate and all of us as colleagues. We welcome applications from qualified individuals from all backgrounds.

Persons with disabilities who need accommodation in the application process or those needing job postings in an alternative format may e-mail a request to thebrightside@sunlife.com.

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.

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