Compliance Manager

6 days 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.

**About the role**:
Within Sun Life Canada (SL Canada), the Canadian operation of Sun Life Financial, there are several main business units (BUs): SL Distribution, Independent Advisor Chanel (together “Individual Insurance and Wealth”), Group Retirement Services, SL Health, Client Experience Office and retail Asset Management through SLGI Asset Management Inc.

The Individual Insurance and Wealth BUs (II&W) are focused on helping Canadians achieve lifetime financial security and live healthier lives by delivering a leading suite of quality products, excellent service and holistic advice with a focus on ease of doing business and strong risk management practices. II&W’s principal insurance products include permanent life, participating life, term life, universal life, critical illness, long-term care and personal health insurance. Savings and retirement products include mutual funds, segregated funds, accumulation annuities, guaranteed investment certificates and payout annuities.

II&W’s products are marketed through a distinctive, multi-channel distribution model consisting of captive advisors (comprising approximately 2500 advisors across Canada) as well as a third-party distribution channels for insurance. Mutual Funds are sold through Sun Life Financial Investment Services Inc.

Reporting to the Assistant Chief Compliance Officer & Advisory, SLF Canada Compliance, the Compliance Manager will work closely on a team whose primary function is providing compliance advisory services, oversight, independent effective challenge, and timely escalation to management where compliance issues persist. The Compliance Manager will partner with cross-functional teams across II&W’s Business Units in support of regulatory changes, product updates/developments, impacts to distribution channels, and assessing product specific inquiries.

**What will you do?**
- Review regulatory policy changes and developments and assess their impact to II&W’s suite of individual retirement and savings products and distribution channels
- Provide ongoing regulatory compliance consultancy to various cross-functional working groups and project teams in support of regulatory changes, product development/updates, and marketing campaigns
- Provide timely and effective challenge to identified instances of non-compliance and unacceptable risks
- Support ongoing monitoring and testing of control measures, and consulting on recommended updates and changes to the Regulatory Compliance Management (RCM) framework
- Respond to product specific inquiries, assessing the regulatory impact to applicable stakeholders
- Communicate project and initiative updates to management, including regulatory gap analysis and identified risks
- Liaise regularly with the other members of the Canadian Compliance team
- Other accountabilities as prescribed by insurance distribution, securities regulations and MFDA policies/bylaws.

**What you need to succeed?**
- Excellent understanding of individual wealth and savings products (segregated funds, mutual funds, accumulation annuities, guaranteed investment certificates, payout annuities)
- Excellent command of insurance and securities laws and regulations
- Strong familiarity with the regulatory framework governing segregated funds, annuities, mutual funds, and sales distribution
- Several years of experience working at an Insurance Company or Mutual Fund Dealer in a related field or discipline
- Familiarity with trust services and products
- Familiarity with OSFI guidelines and expectations
- Ability to navigate within a multi-matrix organization in a fast-paced environment
- Exercises professional development, sound judgement, is comfortable with data and can work in a digital environment
- Proven ability to communicate key regulatory concepts to different stakeholders with excellent communication skills both verbal and written
- Proven ability to build relationships and influence change

**Preferred skills**:

- Experience working with financial advisors in a supervisory or compliance capacity is an asset
- Successful completion of related wealth management and/or insurance professional development (e.g., CSC/IFIC, CPH, IDSC [formerly BMC], LLQP, LOMA).
- Completion of related professional designations is an asset (e.g., CIM, CFP)

**What's in it for you?**
- A friendly, collaborative, and inclusive culture
- The opportunity to

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