Senior Investigator, Compliance Specialist

6 days ago

Old Toronto, Ontario, Canada Sun Life Financial Full time
Job Summary

We are seeking a highly skilled Senior Investigator to join our Wealth Management Compliance team at Sun Life Financial. As a Senior Investigator, you will be responsible for conducting thorough investigations into advisor misconduct and regulatory inquiries.

Key Responsibilities
  • Conduct investigations into allegations of misconduct within our Wealth and Insurance distribution channels.
  • Review trends and assist in designing controls for prevention and deterrence of dishonest and fraudulent activities.
  • Manage reporting obligations to regulatory bodies and ensure timely reporting.
  • Ensure thorough documentation of internal investigations, including evidence, analysis, and final outcomes.
  • Recommend appropriate internal discipline and client remediation where applicable.
  • Accurately identify, assess, and report risks and trends for the business.
Requirements
  • University degree or college diploma.
  • 5-10 years of experience in complaint handling, internal investigations, and compliance.
  • 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.
  • Valid driver's license.
What We Offer
  • Competitive salary range: $76,000 - $100,000.
  • Flexible benefits package.
  • Pension plan participation.
  • Opportunities for career growth and professional development.
  • Collaborative and inclusive work environment.

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