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Trade Supervision Manager

2 months ago

Montreal, Quebec, Canada Sun Life Full time
About the Role

We are seeking a highly skilled Trade Supervision Manager to join our Business Governance & Controls team. As a key member of our team, you will be responsible for providing first-line oversight of trading and other activities of advisors and field leaders to ensure we are meeting regulatory obligations and Sun Life policies.

Key Responsibilities
  • Conduct Tier 1 supervision activities, including daily and monthly trade reviews, close supervision, and new registrant supervision.
  • Effectively manage queries and other tasks to support trade supervision within the broader team.
  • Through daily trade review activities, identify and help resolve issues impacting risk, regulatory requirements, and our policies and procedures.
  • Proactively identify issues and coaching opportunities for field leaders and advisors to improve compliance outcomes.
  • Proactively identify and share opportunities for improvement in policies, processes, tools, and reporting across the compliance ecosystem.
  • Collaborate with Trade Supervision team members and with other Business Governance & Controls colleagues to achieve Business Governance & Controls objectives.
  • Complete other duties as assigned.
Requirements
  • Mutual Fund Dealer Branch Manager proficiency, which includes 2 years of relevant experience and completion of any one of the following:
  • Branch Manager's Course Exam (CSI)
  • Mutual Fund Branch Manager's Examination Course Exam (IFSE)
  • Branch Compliance Officers Course Exam (CSI)
  • Strong knowledge of and experience with mutual fund industry compliance standards and practices.
  • Excellent organization and time management skills.
  • High degree of integrity and ethics; good judgement.
  • Interpersonal and communication skills.
  • Investment Dealer Branch Manager Proficiency is an asset.
  • Bilingualism (French, English, both oral and written) is required for Quebec only for frequent interactions with English and French-speaking colleagues or internal partners across Canada or worldwide.
What We Offer
  • Flexible Benefits from the day you join to meet the needs of you and your family.
  • We are proud to be on the 2024 Best Workplaces in Canada list by Great Place to Work.
  • We're also listed as one of the Best Workplaces for Women and Best Workplaces with Most Trusted Executive Teams.
  • Join one of our many Inclusion Networks, which are voluntary, employee-led groups dedicated to creating connection, fostering inclusivity, and building community.
  • Charitable giving through our You Give, We Give program lets you give back to your community – and in many cases, we'll match your contributions.
About Sun Life

Diversity and inclusion have always been at the core of our values at Sun Life. A diverse workforce with wide perspectives and creative ideas benefits our clients, the communities where we operate, and all of us as colleagues. We welcome applications from qualified individuals from all backgrounds.

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.