Compliance Analyst, Trade Supervision

4 weeks ago

Toronto, 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.

Reporting to the Manager of Field Supervision, the Compliance Analyst is responsible for conducting daily reviews of Mutual Fund account trading activity, engaging Trade Supervision Managers (TSM) and/or other supervision staff on suitability inquiries, escalate potential deficiencies to the Manager of Field Supervision, performing ongoing and periodic analysis, testing and trending reporting related to the sales activities of advisors.

**What you will do?**
- Conduct, monitor and document daily and monthly head office reviews of client account activity with a focus on criteria outlined in MFDA Policies and other regulatory/corporate guidelines.
- Identify trends developing in trading of specific advisors and/or client accounts with an emphasis on suitability, concentration, potential conflict of interest and unusual transactions, conducting detailed analysis, escalating concerns to the Manager of Field Supervision where necessary.
- Follow up on supervisory inquiries from daily and monthly reviews with the branch managers, Tier 1 leadership team and/or advisors.
- Prepare weekly/monthly/quarterly summaries of follow up work and ad hoc report as required.
- Function as a point of contact and resource of Field supervision inquiries and requests from trade Supervision Manager, Trade Supervision team leader, any other supervisory staff and support staff.
- Provide training to new analysts and other staff members.
- Continually review the firm’s compliance procedure and changes to the procedure and evaluate the effectiveness of departmental procedures and participate in developing, maintaining, and recommending changes to the policies and procedure.
- Work in special projects as requested.
- Conduct oversight testing of tier 1 supervision
- Carefully document and file Field supervision review activities within head office trade databases
- Participates in projects, as needed.

**What do you need to succeed?**
- 2 to 5 years experience within the financial services, previous experience in MFDA dealership setting, experience in sales support, compliance, or supervision
- Excellent communications skills
- Auditing background
- Ability to work independently and as a member of a team
- Strong research and analytical skills
- Strong relationship management skills
- Strong Mutual Fund knowledge
- Above average knowledge of individual advisor business environment
- Above average computer skills: Microsoft Power Point, Excel, Access Univeris, eCISS, Customer Service Workbench (CSW), MLIF
- Completion of the IFSE Branch Managers’ Examination Course
- Completion of the IFSE Exchange-Traded Funds Course
- Completion of the IFSE Investing in Alternative Mutual Funds and Hedge Funds Course

**Preferred Skills**:

- Bilingualism (French, English, both oral and written) is required for the frequent interactions with English and French-speaking colleagues or internal partners across Canada and worldwide. - asset
- Completion of IFSE Canadian Investment Funds, or Canadian Securities Course
- Experience working with advisors and/or Career Sales Force
- Experience working with large data sets, VBA, SQL and/or Tableau

**Notes/Unique requirements**:

- Successful completion of the IFIC Branch Managers’ Examination course is required within 3 months.
- Extra hours may be required during periods with high mutual fund trading volumes.

**What's in it for you?**
- Hybrid work environment
- 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
- Flexible Benefits from the day you join to meet the needs of you and your family
- 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
- Work-life balance by scheduling your day around your priorities and having more time to spend on the important things
- We are honoured to be recognized as a **2022 Best Workplaces in Canada** by Great Place to Work® Canada

At Sun Life we strive to create a flexible work environment where our employees are empowered to do their best work. Se

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