Trade Supervision Manager
2 days ago
As a key member of the Business Governance & Controls team, you will play a critical role in ensuring the Canadian Retail Advice and Solutions business meets regulatory obligations and Sun Life policies.
Reporting to a Manager, Trade Supervision Oversight, you will be part of a team that provides first-line oversight of trading and other activities of advisors and field leaders.
Key Responsibilities:
- Conduct daily and monthly trade reviews, close supervision, and new registrant supervision to identify and help resolve issues impacting risk, regulatory requirements, and our policies and procedures.
- Effectively manage queries and other tasks to support trade supervision within the broader team.
- Proactively identify coaching opportunities for field leaders and advisors to improve compliance outcomes.
- Collaborate with Trade Supervision team members and other BG&C colleagues to achieve BG&C objectives.
Requirements:
- Mutual Fund Dealer Branch Manager proficiency, including 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), or 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 judgment.
- Interpersonal and communication skills.
What We Offer:
- A dynamic and inclusive work environment where you can grow and develop your skills.
- A competitive salary range of $56,000 - $91,000.
- A comprehensive benefits package, including flexible benefits and a generous pension plan.
- Opportunities for professional development and career advancement.
Sun Life Financial is committed to diversity and inclusion. We welcome applications from qualified individuals from all backgrounds.
Persons with disabilities who need accommodation in the application process may email a request to thebrightside@sunlife.com.
We thank all applicants for their interest in this position. Only those selected for an interview will be contacted.
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