Compliance Analyst

4 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.

**Please note this is an 18-month contract opportunity until about July/Aug 2024**

**About the role**:
The Analyst on the Investigations team, within Canada Compliance, will be responsible for assisting and supporting with all aspects of investigations within our Distribution channels. The Analyst will review incoming queries and escalations, communicate with our business partners such as, Distribution, Legal, Compliance, Fraud Risk Management. This position will perform preliminary case or investigation assessments for presentation to senior investigators assist with analysis, file reviews, regulator inquiries, and at times, may handle less complex investigation files.

**What will you do?**
- Monitor the Investigations inbox for escalations and queries
- Gather all information for investigations
- Perform Insurance business review
- Perform Mutual Fund business review
- Conduct file reviews, manual policy reviews
- Prepare audit letters and/or statutory declarations and correspond with clients
- Prepare and gather background material for interviews
- Call clients or other parties for additional information and evidence
- Analyze information to determine if there are fraudulent or dishonest activities
- Prepare executive summaries for senior management and facilitate committee review meetings
- Assist with responding to the MFDA or other regulator inquiries
- Collaborate with Sr. Investigators and Market Based Complaints Team

**What do you need to succeed?**
- University degree (or equivalent)
- 5 years experience in wealth and insurance business
- Knowledge of investigative techniques
- Strong knowledge of the regulatory industry
- Must have high level of integrity and a complete commitment to confidentiality
- Excellent communication skills, both verbal and written
- Must have or be willing to obtain Mutual Funds Branch Manager proficiency within a short period of time

**Preferred Skills**:

- Fluency in English and French (bilingual) is an asset
- Strong analytical skills and inquisitive nature
- In-depth knowledge of insurance and investment products, administration, and marketing
- Ability to self-manage and work independently but also as a member of a team.

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**:
15/01/2023

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