Compliance Analyst
3 weeks ago
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.
**Please note this is a 1-year contract opportunity**
**About the role**:
Reporting to the Manager of Field Supervision, the Compliance Analyst is responsible for conducting daily reviews of Mutual Fund account trading activity, engaging Regulatory Practices Managers (RPM) and/or managers with suitability inquiries, escalating 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 will you do?**
- Review the previous day’s Mutual Fund trading activity in accordance with Regulatory requirements and internal policies
- Follow up on trade inquiries to ensure all identified deficiencies are promptly corrected
- Monitor Segregated Fund sales and trading activity in accordance with internal policies
- Produce various reporting as required, daily, weekly, and monthly
- Conduct oversight testing of tier 1 supervision
- Carefully document and file all tier 2 review activities within head office trade databases
- Participates in projects as needed
- Other duties as required
**What do you need to succeed?**
- 3 -5 years of relevant working experience in financial services or a post-secondary education in a related field
- Completion of the IFIC Branch Managers’ Examination Course
- Excellent communications skills, written and verbal
- 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 and Insurance product 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
- For Quebec applicants - Bilingualism (French, English) required
- immediate manager is a unilingual Anglophone outside Quebec
**Preferred Skills**:
- Completion of IFIC Canadian Investment Funds, or Canadian Securities Course (CSC)
- Experience working with advisors and/or Career Sales Force
- Experience working with large data sets, VBA, SQL and/or Tableau
- For Ontario applicants - Bilingual (English & French)
**Unique Requirements**:
- Extra hours may be required during periods with high mutual fund trading volumes
**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
- 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
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**:
51,100/51 100 - 82,800/82 800
**Job Category**:
Compliance
**Posting End Date**:
23/04/2023
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