Regulatory Affairs Manager/Executive
1 week ago
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 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 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.
(SLCSI), and will be responsible for providing compliance advisory and overseeing both dealer's regulatory compliance management programs.Sun Life's Advisors are committed to help people achieve lifetime financial security and live healthier lives.
The incumbent will have experience working within Autorité des marchés financier (AMF) and Chambre de la sécurité financière (CSF) regulated retail compliance regimes and be knowledgeable around self-regulatory organization (SRO) rules and regulations including CIRO's Mutual Fund Dealer (MFD) and Investment dealer and partially consolidated (IDPC) rulebooks.
The preferred candidate will be bilingual (French, English) and have both mutual fund and/or investment dealer compliance experience in key areas such as business conduct, supervision, policies and procedures, complaints, and registrations and will be capable of providing advice in these areas to head office stakeholders and advisors.
The incumbent will possess a well-rounded knowledge of SRO and securities legislation and business conduct compliance requirements.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.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.
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.
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.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.
~ Exercises professional development, strong influencing skills, sound judgement, is comfortable with data and can work in a digital environment.
~ 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.
Undergraduate degree
Law degree or Regulatory Compliance Management certificate is an asset
We're proud to be recognized as a company with a 2023 Most Trusted Executive team by Great Place to Work Canada
Access to short-term assignments or 'Gigs' across the organization, to help you develop new skills and connections.
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.
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.
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 .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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