Senior Investigator, Compliance Specialist

6 days ago

Toronto, Ontario, Canada Financière Sun Life Full time
Job Summary

We are seeking a highly skilled and experienced Senior Investigator to join our team at Financière Sun Life. As a Senior Investigator, you will be responsible for conducting thorough and impartial investigations into allegations of misconduct within our Wealth and Insurance distribution channels.

Key Responsibilities
  • Conduct investigations into allegations of misconduct, including advisor misconduct and regulatory inquiries
  • Review trends and assist in designing controls for prevention and deterrence of dishonest and fraudulent activities
  • Manage reporting obligations to regulatory bodies and ensure timeliness of reporting
  • Ensure thorough documentation of internal investigations, including evidence, analysis, and final outcome
  • Recommend appropriate internal discipline and client remediation where applicable
  • Accurately identify, assess, and report risks and trends for the business
Requirements
  • Relevant industry work experience, including Mutual Fund/Investment Dealer experience
  • In-depth knowledge of insurance and investments, mutual funds, debt instruments, and segregated fund products
  • In-depth knowledge of securities and insurance regulatory requirements, policies, guidelines, and expectations
  • Strong investigative, decision-making, influencing, analytical, and mathematical skills
  • Excellent partnering skills to build relationships with key business partners
  • Ability to self-manage and work independently, as well as part of a team
Qualifications and Assets
  • University degree or college diploma
  • Years of experience in complaint handling, internal investigations, and compliance experience
  • Investment Funds in Canada (IFIC) or Canadian Securities Course (CSC) and Branch Managers Course (CSI or IFSE) or equivalent
  • Working knowledge of SalesForce, Univeris, or other Books and Records systems
  • Fluency in French and English languages preferred
  • Able to travel within Canada on short notice
What We Offer
  • Competitive salary range: $76,000 - $125,000
  • Flexible benefits package
  • Pension plan participation
  • Opportunities for career growth and professional development
  • Flexible hybrid work model

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