Compliance Manager, Wealth Advisory, Quebec

2 weeks ago

Montreal, Quebec, Canada Sun Life Full time
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.


Wealth Management Compliance Canada is looking for a Compliance Manager to join their dynamic team, reporting to the Director, Wealth Management Compliance and Assistant Chief Compliance Officer, Sun Life Financial Investment Services Inc.


The incumbent will be the compliance lead in Quebec for Sun Life's mutual fund dealer, Sun Life Financial Investment Services Inc.

(SLFISI), and investment dealer, Sun Life Canada Securities Inc. (SLCSI), and will be responsible for providing compliance advisory and overseeing both dealer's regulatory compliance management programs.


SLFISI is a registered mutual fund dealer operating in all provinces and territories in Canada with over $34B in AUA.

SLCSI is Sun Life's new investment dealer, launched in late 2023. Sun Life's Advisors are committed to help people achieve lifetime financial security and live healthier lives.

What will you do?

  • Foster a culture of compliance throughout the organization by promoting ethical behavior, accountability, and adherence to regulatory standards.
  • Act as the primary point of contact in Quebec for regulatory compliance for SLFISI and SLCSI, providing ongoing regulatory consultation to business stakeholders, and support Compliance Managers in other jurisdictions where needed.
  • Interpret, communicate, and monitor regulatory changes, and assess proposed controls and action plans.
  • Assess and provide ongoing independent effective challenge to program changes, process modifications, sales initiatives, incentives and identified Conflicts of Interest.
  • Administer the Regulatory Compliance Management (RCM) programs.
  • Write policy and ensure that the policies and procedures manuals are regularly updated to align with current regulations and industry standards.
  • Identify, review, and provide independent effective challenge to RCM Issues.
  • Draft compliance memos and presentations and present them to senior business stakeholders and leaders.
  • Assist in preparing periodic compliance reports to update senior leadership on the status of the RCM programs.
  • Review sales and marketing materials.
  • Support ongoing monitoring and testing of control measures and consult on recommended updates and changes to the RCM framework.
  • Collaborate with other departments within Sun Life to ensure regulatory requirements are well understood, consistently applied, and corresponding controls mitigate risks as intended.
  • Liaise regularly with the other members of the Canadian Compliance team.

What you need to succeed?

  • 24 years of experience working at a mutual fund or investment dealer, covering Quebec.
  • Excellent understanding of AMF and CSF related rules and guidelines, and a strong understanding of MFD and IDPC rules.
  • Familiarity with OSFI, AML/ATF, and privacy rules, guidelines, and expectations.
  • Proven ability to communicate key regulatory concepts to different stakeholders with excellent business acumen, and communication skills both verbal and written.
  • Ability to navigate within a multimatrix organization in a fastpaced environment.
  • Exercises professional development, strong influencing skills, sound judgement, is comfortable with data and can work in a digital environment.
  • Proven ability to build relationships and influence change.
  • Bilingualism (French, English, both oral and written) is required for the frequent interactions with English and Frenchspeaking colleagues or internal partners across Canada and worldwide.

Preferred skills:

  • Knowledge of products and services in the retail securities distribution space and knowledge of AMF, CSF, and CIRO requirements
  • Successful completion of related professional development courses (i.e., CSC, CPH, OPD, CCO)
  • Undergraduate degree
  • Law degree or Regulatory Compliance Management certificate is an asset

What's in it for you?

  • We're proud to be recognized as a company with a 2023 Most Trusted Executive team by Great Place to Work Canada
  • Access to shortterm assignments or 'Gigs' across the organization, to help you develop new skills and connections.
  • A collaborative and interactive team environment
  • Charitable giving through our You Give, We Give program lets you give back to your community and in many cases, we'll match your contributions.
  • Care Days available for selfcare or care of others (i.e., family or others you may support) and Sick Days to support

  • Compliance Manager

    2 weeks ago

    Montreal, Quebec, Canada Sun Life Full time

    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...

  • Professional Wealth Branch Manager

    2 weeks ago

    Montreal, Quebec, Canada TD Bank Full time

    Professional Wealth Branch Manager:BRJob Category - Primary Wealth ManagementWork Location 1350 Rene-Levesque Blvd CorporateEmployment Type RegularCity MontrealTime Type Full TimeProvince/State QuebecHours 37.5Workplace Model OnsitePay DetailsDepartment Overview TD Private Wealth Management is a premier fullservice brokerage and wealth management business...

  • Bilingual Manager Compliance

    2 weeks ago

    Montreal, Quebec, Canada IGM Financial Full time

    Career Opportunities: Bilingual Manager Compliance - Montreal Requisition ID 12769 - Posted - Location (1) - Canada - Province of Job Posting (1) - Career Site (2) Location: Montreal Greater Area or Quebec Greater Area IGM Financial Inc. is one of Canada's leading diversified wealth and asset management companies with approximately $271 billion in total...

  • Wealth Manager

    2 weeks ago

    Montreal, Quebec, Canada Desjardins Group Full time

    Wealth Management Advisor page is loaded Wealth Management Advisor Apply remote type The work arrangement for the position is hybrid work locations Montréal time type Full time posted on Posted 2 Days Ago job requisition id R As a wealth management advisor, you're responsible for developing and maintaining lasting and trusting business relationships with...

  • Regulatory Affairs Manager/Executive

    2 weeks ago

    Montreal, Quebec, Canada Sun Life Financial Full time

    Compliance Manager, Wealth Advisory, Quebec page is loaded Compliance Manager, Wealth Advisory, Quebec Apply locations Montreal, Quebec time type Full time posted on Posted 3 Days Ago job requisition id JR 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...

  • Advisory Agent

    2 weeks ago

    Montreal, Quebec, Canada Desjardins Full time

    At Desjardins, we believe in equity, diversity and inclusion. We're committed to welcoming, respecting and valuing people for who they are as individuals, learning from their differences, embracing their uniqueness, and providing a positive workplace for all. At Desjardins, we have zero tolerance for discrimination of any kind. We believe our teams should...

  • Wealth Management Advisor

    2 weeks ago

    Montreal, Quebec, Canada SFL Wealth Management Full time

    If you have outstanding interpersonal skills, aspire to be part of a winning team , and can clearly explain financial products, then this role is for youABOUT USIT360 Financial stands out as a dynamic and forward-thinking company, providing tailored insurance and investment solutions primarily for independent IT consultants. IT360 Financial is currently...

  • Compliance Manager

    2 weeks ago

    Montreal, Quebec, Canada Sun Life Full time

    Vous êtes unique, comme le sont votre parcours, votre expérience et votre façon de voir les choses. Ici, on vous encourage et on vous motive à donner le meilleur de vous-même, et on vous donne les moyens de le faire. Vous travaillerez avec des collègues dynamiques - experts dans leur domaine - qui sont impatients de partager leurs connaissances avec...

  • Advisory Agent

    2 weeks ago

    Montreal, Quebec, Canada Desjardins Full time

    At Desjardins, we believe in equity, diversity and inclusion. We're committed to welcoming, respecting and valuing people for who they are as individuals, learning from their differences, embracing their uniqueness, and providing a positive workplace for all. At Desjardins, we have zero tolerance for discrimination of any kind. We believe our teams should...

  • Advisory Agent

    2 weeks ago

    Montreal, Quebec, Canada Desjardins Full time

    At Desjardins, we believe in equity, diversity and inclusion. We're committed to welcoming, respecting and valuing people for who they are as individuals, learning from their differences, embracing their uniqueness, and providing a positive workplace for all. At Desjardins, we have zero tolerance for discrimination of any kind. We believe our teams should...

  • Private Wealth Associate, Bilingual

    2 weeks ago

    Montreal, Quebec, Canada CWB Financial Group Full time

    AtCWB, we strive to build value for the people who choose us every day: our people, our clients and our investorsWe do this by: Putting people first and building relationships with intention Seeking out and embracing new ideas Believing that how we do things is as important as what we doPrivate Wealth Associate, BilingualLocation: Montreal, QuebecAtCWB...

  • Manager Sales Tax Advisory

    2 weeks ago

    Montreal, Quebec, Canada Ryan, LLC Full time

    The Manager, Sales Tax Advisory, works within Ryan's Transaction Tax Group to manage the delivery of fee-based advisory support and compliance services, either by the Manager or by Sales Tax Advisory or Compliance staff, to clients. As required, the Manager will assign and direct Sales Tax Advisory and Compliance consulting staff in the performance of...

  • Wealth Advisor

    2 weeks ago

    Montreal, Quebec, Canada National Bank of Canada Full time

    A career as a Wealth Advisor in the Exclusive Remote Advisory Services team at National Bank means helping our clients achieve their life goals. This job allows you to have a positive impact on our organization, thanks to your experience in customer service, your knowledge of investment products and your skills in offering quality advice.Your job Cultivate...

  • Bilingual Wealth Management Advisor

    2 weeks ago

    Montreal, Quebec, Canada Compunnel Inc. Full time

    We are hiring for our client, a leading Financial and Insurance service providerContract:months contractLocation: Oakville ON / Montreal QCJob Type: Hybrid (3 days from office)Payrate: $32/hron T4Job Summary: The Bilingual Advisor Onboarding & Transition Specialist is a critical and multi-functional role within Advisory Services' business development...

  • Wealth Management Advisor

    2 weeks ago

    Montreal, Quebec, Canada Desjardins Full time

    At Desjardins, we believe in equity, diversity and inclusion. We're committed to welcoming, respecting and valuing people for who they are as individuals, learning from their differences, embracing their uniqueness, and providing a positive workplace for all. At Desjardins, we have zero tolerance for discrimination of any kind. We believe our teams should...

  • High Salary Bilingual Wealth Management Advisor

    2 weeks ago

    Montreal, Quebec, Canada Compunnel Inc. Full time

    We are hiring for our client, a leading Financial and Insurance service provider.Contract: months contractLocation: Oakville ON / Montreal QCJob Type: Hybrid (3 days from office)Payrate: $32/hr. on T4Job Summary:The Bilingual Advisor Onboarding & Transition Specialist is a critical and multi-functional role within Advisory Services' business development...

  • Associate - Wealth Management (Hybrid)

    1 month ago

    Montreal, Quebec, Canada National Bank Full time

    Job PostingAttendance Hybrid Job Number 20905Category: ProfessionalStatus: PermanentType of Contract: PermanentSchedule: Full-TimeFull Time / Part Time? Full-TimePosting date: 24-Jan-2024Location: Montreal, QuebecCity: MontrealProvince/State: QuebecArea of Interest: Wealth managementA career as a Wealth Associate at National Bankis a job where you can...

  • Associate - Wealth Management (Hybrid)

    4 weeks ago

    Montreal, Quebec, Canada National Bank Full time

    Job PostingAttendance Hybrid Job Number 20905Category: ProfessionalStatus: PermanentType of Contract: PermanentSchedule: Full-TimeFull Time / Part Time? Full-TimePosting date: 24-Jan-2024Location: Montreal, QuebecCity: MontrealProvince/State: QuebecArea of Interest: Wealth managementA career as a Wealth Associate at National Bankis a job where you can...

  • Wealth Advisor

    2 weeks ago

    Montreal, Quebec, Canada Banque Nationale du Canada Full time

    A career as a Wealth Advisor in the Exclusive Remote Advisory Services team at National Bank means helping our clients achieve their life goals. This job allows you to have a positive impact on our organization, thanks to your experience in customer service, your knowledge of investment products and your skills in offering quality advice. Your job...

  • Wealth Advisor

    2 weeks ago

    Montreal, Quebec, Canada National Bank Full time

    A career as a Wealth Advisor in the Exclusive Remote Advisory Services team at National Bank means helping our clients achieve their life goals. This job allows you to have a positive impact on our organization, thanks to your experience in customer service, your knowledge of investment products and