Financial Governance Expert

3 days ago


Waterloo, Ontario, Canada Sun Life Financial Full time

Sun Life Financial is committed to attracting and retaining top talent. As a Trade Supervision Manager, you will play a critical role in ensuring the quality and integrity of our business practices.

About the Job:

The Business Governance & Controls (BG&C) team is responsible for first-line oversight within the Canadian Retail Advice and Solutions (RAS) business and works closely with advisors and field leaders to help advisors build and maintain compliant business practices, meet evolving regulatory expectations, all while putting the Client's interests and experience first.

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.


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