Full Time
2 weeks ago
Compliance Analyst, Trade Supervision page is loaded Compliance Analyst, Trade Supervision
Apply locations Toronto, Ontario time type Full time posted on Posted 2 Days Ago job requisition id JR00091487 You are as unique as your background, experience and point of view. 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. Discover how you can make a difference in the lives of individuals, families and communities around the world.
Wealth Management Canada Compliance is looking for a Tier 2 Bilingual Compliance analyst to join their dynamic team, reporting to the Director, Filed Supervision.
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.
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.
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.
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)
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.
Exercise professional development, strong influencing skills, sound judgement, is comfortable with data and can work in a digital 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.
The opportunity to move along a variety of career paths with amazing networking potential.
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. 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.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.
Compliance Posting End Date:
Our supportive, flexible, and inclusive work environment is one where you – and your career – can thrive. Whatever your aspirations, collaborative leaders and colleagues are ready to help you learn, grow, and succeed.
Our purpose is to help Clients achieve lifetime financial security and live healthier lives. As part of Sun Life’s growing team, you have an impact on people in your community and around the world.
Use data to drive bold actions. Be agile and pivot as we test and learn. At Sun Life, we’re driving transformation, sustainability and innovation for our Clients, employees, partners, and communities.
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