Compliance Coordinator

2 weeks 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**:
**What will you do?**
- Support the Regulatory Reporting Team with various tasks that include but are not limited to:

- Create, distribute and track responses for client mailings relevant to regulatory inquiries and other compliance matters
- Monitor team Outlook Inboxes and assign, track cases/inquiries
- Complete data gathering for quality review assessments completed by the Compliance Manager
- Create response files for Regulatory Inquiries and track all inquiries received
- Conduct various compliance checks for business units both within and outside of Compliance
- Track and process prepared/approved submissions to the New SRO (previously the MFDA)
- Prepare preliminary reviews of Outside Activity submissions
- Generate and send out quarterly Outside Activity reports
- Update the teams' case management system tracking tools as required
- Provide support for other internal teams within Compliance, Retail Advice & Solutions and Investment Solutions where needed
- Support the Investigations Team with various tasks that include but not limited to:

- Create, distribute and track responses for client mailings relevant to investigations, complaints, and other compliance matters
- Complete preliminary assessments and create investigation files at the onset of a new investigation which includes data gathering and analysis
- Update the case management system
- Generate data reports required for investigation summaries
- Responsible for creating team agendas and taking minutes during team meetings
- Main point of contact for all Individual Compliance mail. Individual will be required to go into the office on a weekly basis to gather and distribute required documents

**What do you need to succeed?**
- Excellent organizational and communication skills
- Strong ability to work independently and manage time effectively to deliver on priorities
- Self-starter, takes initiative and has desire to probe and solution
- High attention to detail and quality of work
- Team oriented with good interpersonal skills
- Ability to build strong working relationships
- Sound knowledge of Microsoft Excel, Microsoft Word, Microsoft PowerPoint, Microsoft Outlook, Adobe
- Comfortable in technology systems, ability to adapt and learn quickly

**Preferred Skills**:

- Completion of related industry education (e.g. CFP, PFP, LOMA)
- Knowledge of internal Sun Life systems (e.g. CSW, BOXI, Univeris, Salesforce)
- Good working knowledge of the business operations of Sun Life, particularly for Sun Life Canada's Retail Advice & Solutions and Investment Solutions business
- Understanding of market-based wealth and insurance products
- Knowledge and interest in the financial services industry
- Knowledge of provincial laws and regulations governing mutual funds, and insurance products
- Completion of mutual fund industry education or equivalent courses (e.g. IFIC or CSC)
- Bilingualism (English/French)

**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
- Wellness programs that support the three pillars of your health - mental, physical and financial

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**:
40,500/40 500 - 66,000/66 000

**Job Category**:
Compliance

**Posting End Date**:
20/02/2023



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