Analyst, Investment Oversight

You are as unique as your background, experience and point of view. Here, you’ll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you'll have new and exciting opportunities to make life brighter for our Clients - who are at the heart of everything we do. Discover how you can make a difference in the lives of individuals, families and communities around the world.

Sun Life Global Investments is a trade name of SLGI Asset Management Inc., Sun Life Assurance Company of Canada and Sun Life Financial Trust Inc. all of which are members of the Sun Life group of companies.

This role is within Sun Life Global Investment's (SLGI) Risk, Governance and Controls team, which is a 1st line of defense function. The team supports the governance framework, first line oversight, adherence to compliance and risk policies and effectiveness of controls as it relates to all facets of the Sun Life Global Investments business.

Reporting to the Senior Manager of Investment Oversight, the Analyst, Investment Oversight is responsible for meeting the business needs of the Investment Oversight function by providing pre trade, post trade and portfolio management compliance oversight to ensure portfolios’ adherence to regulatory requirements and investment guidelines.

**Please note this is a one-year contract role.**

**What will you do?**
- Investigate and resolve trading and portfolio management compliance alerts generated in the Charles River IMS Compliance module arising from pre trade and post trade reviews
- Conduct appropriate inquiries and investigations in relation to any such situation and ensure that appropriate corrective actions and/or risk mitigation actions are implemented in a timely manner or escalated
- Perform supplemental reviews and implement manual processes for monitoring
- Work with the Senior Manager, Investment Oversight to identify lacking and/or non-effective compliance controls and internal policies and procedures
- Communicate and develop relationships with stakeholders such as Portfolio Managers, Sub Advisors, Legal, Operations and Product
- Undertake sufficient research and analysis to arrive at conclusions and/or recommendations on complex business cases (such as usage of derivatives)
- Participate in special Compliance projects, as required, and prepares and coordinates Compliance management reports
- Other duties and projects as may be assigned from time to time

**What do you need to succeed?**
- Minimum 3-4 years of experience in the financial services industry and/or capital markets
- Post-secondary education in a related field
- Strong investment knowledge, including knowledge of derivatives
- Experience with data analysis and advanced excel skillset
- Experience using Bloomberg or Charles River IMS is recommended; comfortable learning new systems with large data input and/or new coding functions. Previous coding experience is an asset but not mandatory
- Knowledge of mutual fund industry and related investment restrictions, especially NI 81-102 Part 2
- Ability to work well both independently and in a team environment
- Focused, results-oriented individual with the strong ability to multi-task and perform under pressure in a fast-paced environment
- Excellent problem solving, analytical skills and a detailed oriented mindset
- Strong verbal and written communication and interpersonal skills
- Securities industry courses offered by CSI or securities designations (CIM, passing CFA level one) are an asset

**Notes**:

- Once a week’s onsite visit is encouraged for this position.

**What in it for you?**
- The opportunity to move along a variety of career paths with amazing networking potential
- Flexible Benefits from the day you join to meet the needs of you and your family
- We’re committed to creating an inclusive and respectful environment. Our goal is to make sure all our employees have the chance to live up to their full potential
- We’re honoured to be recognized as a 2023 Best Workplaces in Ontario by Great Place to Work® Canada
- We are thrilled to be recognized by Excellence Canada with their top-level certification, the Canada Order of Excellence for Mental Health at Work®, for prioritizing employee well-being, fostering a positive work culture, and achieving excellence in mental health
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At Sun Life we strive to create a flexible work environment where our employees are empowered to do their best work. Several flexible work options are available and can be discussed throughout the selection process depending on the role requirements and individual needs.

We thank all applicants for showing an interest in this position. Only those selected for an interview will be contacted.

**Salary Range**:
58,000/58 000 - 97,000/97 000

**Job Category**:
Product

**Posting