Compliance Manager, Market-based Complaints

2 months 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.

**About the role**:
As a member of the Individual Compliance team, the Manager, Complaints and Investigations, will be responsible for the oversight of client complaint resolutions regarding market-based products and services. This role is accountable to ensure that complaint handling practices are aligned with regulatory requirements including Mutual Fund Dealer Association of Canada (“MFDA”) Policy No. 3 and reporting requirements under MFDA Policy No. 6. The role will be responsible for investigating allegations of misconduct within our Distribution channels by reviewing trends and assist in designing controls for prevention and deterrence of dishonest and fraudulent activities and activities which put Sun Life Financial at risk.

**What will you do?**
- Work within a team of consultants responsible for resolving complex client complaints and investigations or service issues related to mutual fund and segregated fund products to strengthen relationships between the client, the advisor and the company.
- Handle complaint reporting obligations to the MFDA via the Member Event Tracking System (“METS”) and ensure timeliness of reporting.
- Manage the maintenance and timely closure of events reported on METS.
- Ensure thorough documentation of the complaint review including the analysis and outcome.
- Conduct Portfolio analysis, and where necessary, quantify client compensation.
- Monitor complaint response timelines and intervene to ensure deadlines are not missed. Directly handle escalated complaints.
- Ensure that complaint handling practices are aligned with regulatory rules, policies, guidelines and expectations including the fair treatment of clients.
- Gather all information for investigations and follow all investigation steps.
- 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. Conduct interviews and take statements. Analyze information to determine if there are fraudulent or dishonest activities.
- Prepare reporting for senior management, regulators and/or law enforcement and facilitate committee review meetings.
- Act as a Mentor/Coach to other Investigators and take lead on complex cases

**What do you need to succeed?**
- 5 years of complaint handling and/or compliance experience.
- Must have CSC or mutual fund equivalent course.
- In-depth knowledge of mutual fund and segregated fund products, administration and marketing.
- In-depth knowledge of securities and insurance regulatory requirements, policies, guidelines and expectations.
- Mutual fund dealer experience and/or mutual fund compliance experience.
- Successful completion of the Canadian Investment Funds Course, the Branch Managers’ Examination Course and/or the Mutual Fund Dealer Compliance Course.
- Superior oral and written communication skills.
- Must have a high level of integrity and a complete commitment to confidentiality.
- Strong investigative, analytical and mathematical skills to recreate what took place.
- Strong decision-making skills to reach a fair and equitable resolution.
- Excellent organizational skills and the ability to prioritize in a rapidly changing environment.
- Excellent partnering skills to build relationships with key business partners.
- Ability to self-manage and work independently but also as a member of a team.
- Working knowledge of Excel and Word.

**Preferred Skills**:

- Experience with the Member Events Tracking System.
- A good understanding of the insurance and mutual fund advisor role.
- Strong interviewing skills and good knowledge of investigative techniques.
- Completed Conduct and Practices Handbook (CPH) course.

**Unique Requirements**:

- Must have or be willing to obtain Mutual Funds Branch Manager course within a short period of time

**What's in it for you?**
- Hybrid work environment
- A friendly, collaborative, and inclusive culture
- 20 vacation days per year
- Flexible Benefits from the day you join to meet the needs of you and your family
- Pension, stock and savings programs to help build and enhance your future financial security
- The opportunity to move along a variety of career paths with amazing networking potential
- Access to our Global Learning Centre, available 24/7 for your learning needs
- Wellness programs that support the

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