Avp, Canada Compliance, Ras Insurance

3 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.

Sun Life is seeking a strategic individual to act as Business Unit Compliance Officer (BUCO) for its retail advice and solutions (RAS) area, focusing on insurance. The Retail Advice and Solutions (RAS) business unit is focused on helping Canadians achieve lifetime financial security and live healthier lives by delivering a leading suite of quality products, excellent service, and holistic advice with a focus on ease of doing business and strong risk management practices. The insurance product shelf for RAS includes permanent life, participating life, term life, universal life, critical illness, long-term care and personal health insurance. Products are marketed through a distinctive, multi-channel distribution model consisting of SLFD advisors as well as a third-party distribution channels.

The **AVP Canada Compliance RAS Insurance** will report to the **VP, Global Conduct Risk and CCO Sun Life Canada** and will be part of the Canadian Compliance leadership team. The individual will work closely with the RAS Insurance senior leadership team to support the overall oversight objectives of the business’ risk management framework.

The AVP, Canada Compliance, RAS Insurance, will lead a team of 10+ to execute and maintain a second line of defense program for the retail insurance business in accordance with regulatory requirements and Sun Life’s regulatory compliance management (RCM) program. As the Compliance lead for the business, the AVP will be an important partner providing compliance consultancy and awareness services to business management including RCM services, oversight, independent effective challenge, reporting and timely escalation to senior management where compliance issues persist. The AVP, Canada Compliance, RAS Insurance will work closely with their RAS Wealth Compliance counterpart to execute and effective compliance framework for Retail Advice and Solutions, as well as other key stakeholders.

**What will you do**:

- Lead and drive client-focused, high-performing, and inclusive culture throughout team covering distribution compliance, investigations and complaints, and regulatory compliance.
- Develop a culture of compliance through the formation of strategic partnerships with the business and applicable stakeholders.
- Establish and maintain policies and procedures to assess compliance by RAS with applicable laws and regulations.
- Oversee RAS Insurance compliance activities, including product review, regulatory risk assessment/management and others.
- Assess the adequacy of adherence to and effectiveness of controls to ensure they are sufficiently robust to achieve compliance with applicable regulatory requirement.
- Develop, document, and actively communicate existing, new, and amended Compliance requirements to management.
- Assist management to identify, address and integrate regulatory requirements into its business activities.
- Act as a key point of contact for regulators for inquiries, complaints, etc. and participate on industry groups as head of RAS Insurance compliance.
- Report regularly and on a timely basis to senior management of RAS as well as the Board of SLFD; quarterly certification related to the compliance regime including emerging and potential risks, control weaknesses, significant issues, and key regulatory developments.
- Liaise regularly with the other members of Canadian Compliance Leadership team, as well as the Enterprise Compliance team, Risk, Audit, and Legal.

**What do you need to succeed**:

- Proven track record leading compliance teams within a large financial institution
- In depth knowledge of RCM and the 3LOD model
- Proven track record of people leadership and development
- Excellent command of insurance, privacy and AML/ATF laws and regulations
- Familiarity with OFSI guidelines and expectations
- Excellent communication skills both verbal and written
- Ability to navigate across a multi-matrix organization in a dynamic and fast paced environment
- Ability to draw our trends and anticipate future regulatory expectations
- Exercises professional development, sound judgement, is comfortable with data and can work in a digital environment
- Effective ability to build relationship, think strategically and influence change at a senior level
- French is an asset

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

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