Current jobs related to Trade Supervision Manager - Montreal, Quebec - Sun Life

  • Trade Supervision Manager

    1 month ago

    Montreal, Quebec, Canada Sun Life Full time

    Job DescriptionAs 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...

  • Trade Supervision Manager

    1 month ago

    Montreal, Quebec, Canada Sun Life Full time

    Job DescriptionAs 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...

  • Trade Supervision Manager

    2 months ago

    Montreal, Quebec, Canada Sun Life Full time

    Job DescriptionAs a key member of the Business Governance and Controls (BG&C) team, the Trade Supervision Manager plays a critical role in ensuring the Canadian Retail Advice and Solutions (RAS) business meets regulatory obligations and Sun Life policies.Key Responsibilities:Conduct daily/monthly trade reviews, close supervision, and new registrant...

  • Trade Supervision Manager

    2 months ago

    Montreal, Quebec, Canada Sun Life Full time

    Job DescriptionAs a key member of the Business Governance and Controls (BG&C) team, the Trade Supervision Manager plays a critical role in ensuring the Canadian Retail Advice and Solutions (RAS) business meets regulatory obligations and Sun Life policies.Key Responsibilities:Conduct daily/monthly trade reviews, close supervision, and new registrant...

  • Bilingual Trade Supervision Manager

    2 months ago

    Montreal, Quebec, Canada Sun Life Full time

    Job Summary: Sun Life is seeking a highly skilled Trade Supervision Manager to join our Business Governance and Controls team. As a key member of our team, you will provide back-up first-line oversight of trading and other activities of advisors and field leaders to ensure we are meeting regulatory obligations and Sun Life policies. Key...

  • Bilingual Trade Supervision Manager

    2 months ago

    Montreal, Quebec, Canada Sun Life Full time

    Job Summary: Sun Life is seeking a highly skilled Trade Supervision Manager to join our Business Governance and Controls team. As a key member of our team, you will provide back-up first-line oversight of trading and other activities of advisors and field leaders to ensure we are meeting regulatory obligations and Sun Life policies. Key...

  • Bilingual Trade Supervision Leader

    3 weeks ago

    Montreal, Quebec, Canada Sun Life Full time

    Job Title: Trade Supervision ManagerJob Summary:The Trade Supervision Manager is responsible for providing back-up first-line oversight of trading and other activities of advisors and field leaders to ensure we are meeting regulatory obligations and Sun Life policies.Key Responsibilities:Conduct Tier 1 supervision activities, including daily/monthly trade...

  • Bilingual Trade Oversight Manager

    4 weeks ago

    Montreal, Quebec, Canada Sun Life Full time

    Job Title: Bilingual Trade Supervision ManagerJob Summary:We are seeking a highly skilled and experienced Bilingual Trade Supervision Manager to join our Business Governance and Controls (BG&C) team. As a key member of our team, you will provide back-up first-line oversight of trading and other activities of advisors and field leaders to ensure we are...

  • Bilingual Trade Oversight Manager

    2 months ago

    Montreal, Quebec, Canada Sun Life Full time

    Job Title: Bilingual Trade Supervision ManagerJob Summary:The Business Governance and Controls (BG&C) team is responsible for first-line oversight within the Canadian Retail Advice and Solutions (RAS) business. We work closely with advisors and field leaders to help them build and maintain compliant business practices, meet evolving regulatory expectations,...

  • Bilingual Trade Oversight Manager

    2 months ago

    Montreal, Quebec, Canada Sun Life Full time

    Job Title: Bilingual Trade Supervision ManagerJob Summary:The Business Governance and Controls (BG&C) team is responsible for first-line oversight within the Canadian Retail Advice and Solutions (RAS) business. We work closely with advisors and field leaders to help them build and maintain compliant business practices, meet evolving regulatory expectations,...

  • Bilingual Trade Oversight Specialist

    2 months ago

    Montreal, Quebec, Canada Sun Life Full time

    Job Title: Bilingual Trade Supervision ManagerJob Summary:We are seeking a highly skilled and experienced Bilingual Trade Supervision Manager to join our Business Governance and Controls (BG&C) team. As a key member of our team, you will provide back-up first-line oversight of trading and other activities of advisors and field leaders to ensure we are...

  • Bilingual Trade Oversight Specialist

    1 month ago

    Montreal, Quebec, Canada Sun Life Full time

    Job Title: Bilingual Trade Supervision ManagerJob Summary:We are seeking a highly skilled and bilingual Trade Supervision Manager to join our Business Governance and Controls (BG&C) team. As a key member of our team, you will provide back-up first-line oversight of trading and other activities of advisors and field leaders to ensure we are meeting regulatory...

  • Bilingual Trade Oversight Specialist

    1 month ago

    Montreal, Quebec, Canada Sun Life Full time

    Job Title: Bilingual Trade Supervision ManagerJob Summary:We are seeking a highly skilled and bilingual Trade Supervision Manager to join our Business Governance and Controls (BG&C) team. As a key member of our team, you will provide back-up first-line oversight of trading and other activities of advisors and field leaders to ensure we are meeting regulatory...

  • Bilingual Trade Oversight Specialist

    2 months ago

    Montreal, Quebec, Canada Sun Life Full time

    Job Title: Bilingual Trade Supervision ManagerJob Summary:We are seeking a highly skilled and experienced Bilingual Trade Supervision Manager to join our Business Governance and Controls (BG&C) team. As a key member of our team, you will provide back-up first-line oversight of trading and other activities of advisors and field leaders to ensure we are...

  • Bilingual Trade Oversight Specialist

    2 months ago

    Montreal, Quebec, Canada Sun Life Full time

    Job Summary: Sun Life is seeking a highly skilled Bilingual Trade Supervision Manager to join our Business Governance and Controls team. As a key member of our team, you will provide back-up first-line oversight of trading and other activities of advisors and field leaders to ensure we are meeting regulatory obligations and Sun Life policies. Key...

  • Bilingual Trade Oversight Specialist

    2 months ago

    Montreal, Quebec, Canada Sun Life Full time

    Job Summary: Sun Life is seeking a highly skilled Bilingual Trade Supervision Manager to join our Business Governance and Controls team. As a key member of our team, you will provide back-up first-line oversight of trading and other activities of advisors and field leaders to ensure we are meeting regulatory obligations and Sun Life policies. Key...

  • Trade Marketing Manager

    6 days ago

    Montreal, Quebec, Canada JTI Full time

    About JTIJTI-Macdonald Corp. is a leading Canadian tobacco company with a rich history dating back to 1858. Headquartered in Mississauga, Ontario, and with manufacturing facilities in Montreal, Quebec, the company employs approximately 500 employees across the country. As a member of Japan Tobacco International (JTI), JTI Canada is a major player in the...

  • Trade Marketing Specialist

    3 weeks ago

    Montreal, Quebec, Canada JTI Full time

    About JTIJTI-Macdonald Corp. is a leading tobacco company in Canada, employing approximately 500 employees across the country. With headquarters in Mississauga, Ontario, and manufacturing facilities in Montreal, Quebec, we are committed to providing adult consumers with a choice of quality products.Trade Marketer RoleThe Trade Marketer assumes a primary role...

  • Trade Marketing Representative

    2 days ago

    Montreal, Quebec, Canada JTI Full time

    About UsJTI-Macdonald Corp. is one of Canada's oldest and leading tobacco companies, employing approximately 500 employees across the country. We are a member of Japan Tobacco International (JTI), producers of some of the world's most recognizable tobacco brands.Our MissionWe aim to provide adult consumers with a choice of quality products, including those...

  • Trade Marketing Specialist

    3 weeks ago

    Montreal, Quebec, Canada JTI Full time

    About JTIJTI-Macdonald Corp. is a leading tobacco company in Canada, employing approximately 500 employees across the country. Our company has a rich history, dating back to 1858, and is a member of Japan Tobacco International (JTI), a global leader in the tobacco industry.Trade Marketer – Quebec Region Sales – Hochelaga-MaisonneuvePosition PurposeThe...

Trade Supervision Manager

2 months ago

Montreal, Quebec, Canada Sun Life Full time
About the Role

We are seeking a highly skilled Trade Supervision Manager to join our Business Governance & Controls team. As a key member of our team, you will be responsible for providing first-line oversight of trading and other activities of advisors and field leaders to ensure we are meeting regulatory obligations and Sun Life policies.

Key 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.
  • Collaborate with Trade Supervision team members and with other Business Governance & Controls colleagues to achieve Business Governance & Controls objectives.
  • Complete other duties as assigned.
Requirements
  • Mutual Fund Dealer Branch Manager proficiency, which includes 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)
  • 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 judgement.
  • Interpersonal and communication skills.
  • Investment Dealer Branch Manager Proficiency is an asset.
  • Bilingualism (French, English, both oral and written) is required for Quebec only for the frequent interactions with English and French-speaking colleagues or internal partners across Canada or worldwide.
What We Offer
  • Working together, sharing common values, and encouraging growth & achievement.
  • Flexible Benefits from the day you join to meet the needs of you and your family.
  • We are proud to be a leader in the industry, with a strong commitment to diversity and inclusion.
  • We offer a range of opportunities for professional development and growth.
  • Charitable giving through our You Give, We Give program lets you give back to your community – and in many cases, we'll match your contributions.