Compliance Analyst, Advisory

2 months ago

Waterloo, 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.

***Please note, this is a one year contract**

Retail Advice & Solutions and Investment Solutions Compliance Canada is looking for a Compliance Analyst to join their dynamic team, reporting to the Director and Assistant Chief Compliance Officer, Advisory. The individual will work on a team of Compliance Managers who provide ongoing regulatory consultation to ensure adherence to the regulatory compliance management program across Sun Life Canada’s retail business units.

The incumbent will need familiarity with financial services regulatory compliance regimes and related requirements/guidance documents as well as knowledge of applicable regulators. Knowledge of products and services in the insurance and mutual fund distribution space is an asset.

**What will you do?**
- Provide ongoing regulatory compliance consultancy to business stakeholders
- Conduct research and analysis in support of second line compliance functions such as issues management, regulatory change, risk assessments and compliance interpretations
- Lead the compliance review intake process, taking ownership of process improvements, effective organization, task owner hierarchy and efficiency optimization
- Support Compliance Managers in the preparation of regulatory analysis, reports, and presentations related to compliance projects and initiatives
- Manage a portfolio of compliance requests, coordinating with team members and business stakeholders to facilitate timely and fact-based resolutions
- Collaborate with other departments within Sun Life to ensure regulatory requirements are well understood, consistently applied, and corresponding controls mitigate risks as intended
- Liaise with Compliance Managers to understand new and changing regulatory requirements and identified compliance gaps
- Maintain and keep up-to-date central compliance inventories and policy matrices
- Organize work, track and communicate progress against milestones and overall status

**What do you need to succeed?**
- Successful completion of related wealth management and/or insurance professional development (e.g., CSC/IFIC, CPH, IDSC [formerly BMC], LLQP, LOMA).
- University degree or college diploma is required
- Knowledge of products and services in the insurance and mutual fund distribution space and familiarity with OSFI requirements preferred
- Law degree or Regulatory Compliance Management certificate is an asset
- 2-4 years of relevant working experience in financial services, regulatory compliance, law firm or equivalent
- Ability to manage multiple complex cases simultaneously
- Familiar with market-based wealth and insurance products
- Ability to read and interpret regulatory requirements and guidance documents
- Excellent communication, interpersonal, and relationship-building skills
- Demonstrated ability to collaborate with large cross-functional teams and influence business stakeholders
- Excellent analytical and problem-solving skills
- Has an owner’s mindset with respect to actions, decisions and outcomes

**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
- 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

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**:
53,300/53 300 - 86,300/86 300

**Job Category**:
Compliance

**Posting End Date**:
19/05/2023

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