Trade Supervision Manager

3 weeks ago

Surrey, 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.

The Business Governance & Controls (BG&C) team is responsible for first line oversight within the Canadian Retail Advice and Solutions (RAS) business and works closely with advisors and field leaders to help advisors build and maintain compliant business practices, meet evolving regulatory expectations, all while putting the Client’s interests and experience first.

Reporting to the Director, Oversight, the Trade Supervision Manager provides first-line oversight of trading and other activities of advisors and field leaders to ensure we are meeting regulatory obligations and Sun Life policies.

Trade Supervision Managers also work in close collaboration with Compliances Best Practices team to identify compliance trends and practices that require coaching and training support.

**What will you do?**
- Conduct Tier 1 supervision activities, including daily/monthly trade reviews, close supervision, new registrant supervision.
- Provide support to Trade Supervision Team Lead in effectively managing queries and other tasks to support trade supervision within the broader team.
- Through daily trade review activities identify and help resolve issues impacting risk, regulatory requirements, and our policies and procedures.
- Proactively identify and collaborate with the Compliance Best Practices team to provide training and coaching support for field leaders and advisors to improve compliance outcomes.
- Proactively identify and share opportunities for improvement in policies, processes, tools, and reporting across the compliance ecosystem
- Escalate unresolved issues and concerns to Trade Supervision Team Lead (for queries) and/or Director, Oversight (for all other matters) on a timely basis.
- Stay current with industry and regulatory knowledge and expectations through continued education.
- Collaborate with Trade Supervision team members and with other BG&C colleagues to achieve BG&C objectives.

**What do you need to succeed?**
- Mutual Fund and Investment Dealer Branch Manager proficiency, which includes a minimum of four years relevant experience and **completion of the following**:

- Canadian Securities Course OR CFA Level 1 (or higher)
- Conduct and Practices Handbook
- Mutual Fund Supervisor course
- Investment Dealer Supervisor course
- Strong knowledge of and experience with mutual fund industry compliance standards and practices
- High degree of integrity and ethics; good judgement
- Exceptional interpersonal and communication skills
- Excellent organizational and time management skills
- Bilingualism (French, English, both oral and written) is an asset.

**Other**:This role is primarily work-from-home, with very limited travel.

**What's in it for you?**
- A friendly, collaborative and inclusive culture
- An environment of continuous learning and improvement

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**:
74,100/74 100 - 120,800/120 800

**Job Category**:
Business Analysis - Process

**Posting End Date**:
06/09/2023

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