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Wealth Oversight Specialist, Risk and Regulatory
3 weeks ago
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.
**Overview**:
Reporting to the Senior Consultant, Reporting & Regulatory Programs, the CFR Oversight Analyst, Risk and Regulatory Practices will play a critical role in enabling the Risk and Regulatory Business Practices (RRBP) team make timely business decisions regarding oversight practices, programs, performance and compliance with risk programs and other controls within Sun Life Financial Distributors (SLFD). The team provides supervision oversight for mutual funds, insurance and other products sold by Advisors and supports SLFD in meeting its risk commitments.
The role of the CFR Oversight Analyst is to support the overall development and maintenance of Advisor business practices and standards aligning with risk and regulatory requirements as well as business priorities. This role will be responsible for supporting programs designed to manage supervision and oversight processes and tools, enable superior employee performance, and meet our risk commitments. A key accountability will be the execution of the KYC & KYP oversight programs for Advisor practices as part of Client Focused Reforms.
**What will you do?**
- Support the implementation of the KYC & KYP oversight programs for Advisor practices as part of Client Focused Reforms requirement
- Once implemented, manage, and run the Client Focused Reforms KYC & KYP oversight programs
- Provide analytical and operational support to the oversight programs by conducting daily reviews, timely execution of reports, tracking results, managing the escalation process
- Test Advisor’s adoption on KYC & KYP tools and their adherence to internal policies and processes by assessing the accuracy of input and reviewing their mutual fund activity
- Manage regular communication with Advisors to request required information as part of oversight programs
- Identify gaps in Advisor understanding and adoption to provide input into the development of coaching materials
**What you need to succeed?**
- Detail oriented with strong organizational skills
- Superior verbal and written communication skills
- Strong problem-solving skills
- Ability to work independently with a strong achievement motivation, while also able to participate effectively in a fluid team environment
- Able to handle numerous operational tasks concurrently, with mínimal supervision
- Proven ability to work in a fast-paced environment and to prioritize, adapt and execute effectively to meet deadlines in a continually changing environment
- Mindset of innovation and continuous improvement
- Relationship builder with collaboration skills including listening and facilitation skills with the ability to work with various teams
- Comfortable with Excel and PowerPoint
- University degree/post-secondary education an asset
- Experience and knowledge either in regulatory standards and practices, risk management or compliance.
- Familiarity with the Mutual fund industry
- Relevant experience in an analytical or operations role
- MFDA Branch Manager experience is an asset
**What's in it for you?**
- Working within a high performance culture.
- Supportive working environment, culture of collaboration.
- Talented and diverse workforce; opportunity to launch a rewarding career.
- A company that promotes health, wellness, and work/life balance.
- We encourage our employees to champion continuous improvement.
- Joining a reputable organization with over 150 years of history.
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.
Sun Life is committed to the health and safety of all those in our workplaces and our communities. In accordance with Sun Life’s Vaccination Policy (Canada):
- Employees permitted to work remotely are required to be fully vaccinated against COVID-19 in order to attend a Sun Life office, Financial Centre or offsite location where activity related to Sun Life business occurs.
- Employees whose job duties require them to attend a Sun Life office, Financial Centre or offsite location for Sun Life business must be fully vaccinated against COVID-19 effective May 1st.
- Employees whose regular workplace is a Financial Centre and SLFD field leaders must be fully vaccinated against COVID-19 or participat
