Financial Governance Compliance Specialist
1 week ago
Become a part of Sun Life Financial's Business Governance & Controls team as a Trade Supervision Manager. This role involves first-line oversight within the Canadian Retail Advice and Solutions business, ensuring advisors build and maintain compliant business practices.
Key Responsibilities:- Conduct daily and monthly trade reviews, close supervision, and new registrant supervision to ensure regulatory obligations are met.
- Effectively manage queries and tasks to support trade supervision within the broader team.
- Evaluate unresolved issues and escalate them to the Manager, Trade Supervision Oversight.
- Collaborate with the Compliance Best Practices team to identify areas for improvement and provide training and coaching to field leaders and advisors.
- Stay current with industry and regulatory knowledge through continued education.
This is an excellent opportunity for those interested in governance and compliance, with the chance to work closely with dynamic colleagues who share their knowledge and expertise.
About the Role:- Salary Range: $56,000 - $93,000 per year
- Location: Primary location for this job posting
- Type: Full-time
Sun Life Financial strives to create a diverse workforce that benefits our clients, communities, and employees. As a Trade Supervision Manager, you will be part of a team that values collaboration, innovation, and excellence. Our company offers flexible work options, a range of benefits, and opportunities for growth and development.
We are committed to diversity and inclusion and believe that a diverse workforce brings creative ideas and perspectives. If you are passionate about governance and compliance, we encourage you to apply for this exciting opportunity.
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