Bilingual Compliance Monitoring Specialist

2 weeks ago

Ottawa, 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, Wealth Oversight Programs, the Compliance Monitoring Specialist (CMS) conducts regular and targeted monitoring and investigations to ensure Sun Life, its advisors and its employees are meeting regulatory obligations and business objectives in selling investment products, mutual funds, segregated funds, and life and health insurance.

**Location**: Primarily work from home

**What will you do?**
- Develop, enhance and execute various monitoring and testing programs for both the wealth and insurance lines of business.
- Complete ad hoc targeted reviews of advisor business and sales practices in response to “red flags” identified by the team or by other stakeholders.
- Conduct various quality assurance activities supporting the Oversight Programs team.
- Conduct regular trending analysis from audit and/or oversight programs to identify and investigate issues.
- Contribute to the development of consumable and relevant reporting based on monitoring and investigative analysis to provide meaningful and actionable insights.
- Collaborate with Trade Supervision, District Regulatory Review and Compliance Best Practices teams, as well as advisors and field leaders to address issues identified through audit programs.
- Serve as SME in various regulatory initiatives and/or support RA&S’s Learning and Development team in building compliance elements into their training programs.
- Proactively identify issues and coaching opportunities 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.
- Stay current on industry developments and updates to regulations.

**What do you need to succeed?**
- Excellent knowledge and understanding of Investment and Insurance product regulations
- Bilingualism (French, English, both oral and written) is required
- Excellent relationship building, communication and presentation skills
- Strong analytical, organizational, and problem-solving skills
- Ability to work independently as well as in a team and manage multiple priorities and timelines
- Ability to work effectively in a fast-paced, complex and evolving environment
- High degree of integrity and ethics, good judgement and exceptional interpersonal and communication skills

**What's in it for you?**
- A friendly, collaborative and inclusive culture
- An environment of continuous learning and improvement
- Supportive working environment, culture of collaboration, high performance teams
- We’re committed to creating an inclusive and respectful environment. Our goal is to make sure all our employees have the chance to live up to their full potential
- Our unique Sabbatical Program gives you the opportunity to take up to 6 weeks off, every five years.
- We’re proud to be recognized as a company with a 2023 Most Trusted Executive team by Great Place to Work® Canada
- Sun Life ranked one of the 2023 Global 100 Most Sustainable Corporations in the World on the Corporate Knights’ 2023

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**:
76,000/76 000 - 125,000/125 000

**Job Category**:
Business Analysis - Process

**Posting End Date**:
01/05/2024

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