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Regulatory Compliance Specialist

2 weeks ago

Toronto, Ontario, Canada Sun Life Financial Full time
Company Overview

Sun Life Financial is a leading international financial services organization that provides a range of insurance, wealth and asset management solutions to individuals and corporate clients. With operations in over 25 countries and millions of customers worldwide, Sun Life Financial is committed to making a positive impact on the lives of its customers and the communities it serves.

Job Summary

We are seeking an experienced Regulatory Compliance Specialist to join our dynamic compliance team. In this role, you will play a key part in ensuring that all business activities meet regulatory requirements and internal policies. As a Regulatory Compliance Specialist, you will work closely with other teams to develop and implement effective compliance strategies and processes.

Responsibilities:

  • Prepare reports and memos for senior management and external regulators, including quarterly Chief Compliance Officer (CCO) reports.

  • Lead the registration program activities, including registrations, terminations, and updates of registrant information with regulators.

  • Support and coordinate CCO responses to regulatory reviews, inquiries, and surveys from Ontario Securities Commission and other regulators.

  • Assist in managing regulatory changes through preparation and communication of interpretation summaries and development of action plans.

  • Act as a compliance reviewer for assigned business process reviews and privacy impact assessments.

  • Provide compliance advice and challenge to key elements of the Regulatory Compliance Management (RCM) Program.

  • Review regulatory documents, such as Simplified Prospectus, Annual Information Form, Fund Facts, and Management Report on Fund Performance.

  • Assist in updating compliance policies and preparing training materials.