Trade Supervision Manager

1 month ago

Montreal, Quebec, Canada Sun Life Full time
Job Description

As a key member of the Business Governance and Controls (BG&C) team, you will play a critical role in ensuring the Canadian Retail Advice and Solutions (RAS) business meets regulatory obligations and Sun Life policies.

Reporting to the Director, Wealth Oversight Programs, you will provide back-up first-line oversight of trading and other activities of advisors and field leaders to ensure compliance with regulatory requirements and Sun Life policies.

Key Responsibilities:
  • Conduct Tier 1 supervision activities, including daily/monthly trade reviews, close supervision, and new registrant supervision as a back-up Trade Supervision Manager.
  • Provide support to Trade Supervision Team Leads in effectively managing 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 Sun Life 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 BG&C colleagues to achieve BG&C objectives.
  • Complete other duties as assigned.
Requirements:
  • Mutual Fund Branch Manager proficiency.
  • Knowledge of and experience with mutual fund industry compliance standards and practices.
  • Integrity and ethics; good judgement.
  • Interpersonal and communication skills.
  • Organizational and time management skills.
  • Bilingualism (French, English, both oral and written) is required for frequent interactions with English and French-speaking colleagues or internal partners across Canada and worldwide.
What's in it for you:
  • A friendly, collaborative, and inclusive culture.
  • An environment of continuous learning and improvement.

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