Trade Supervision Manager

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.

** This role is a contract of 12 months **

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. Reporting to a Manager, Trade Supervision Oversight, this Trade Supervision Manager (“TSM”) is part of a team which provides first-line oversight of trading and other activities of advisors and field leaders to ensure we are meeting regulatory obligations and Sun Life policies.

**What will you do?**
- Conduct Tier 1 supervision activities, including daily and monthly trade reviews, close supervision and new registrant supervision.
- Effectively managing queries and other tasks to support trade supervision within the broader team.
- Escalate unresolved issues and areas of concern to the Manager, Trade Supervision Oversight.
- Through daily trade review activities identify and help resolve issues impacting risk, regulatory requirements, and our policies and procedures.
- Proactively collaborate with the Compliance Best Practices team to identify issues and provide training and coaching to 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 BG&C colleagues to achieve BG&C objectives.
- Stay current with industry and regulatory knowledge and expectations through continued education.
- Complete other duties as assigned.

**What do you need to succeed?**
- ** Mutual Fund Dealer Branch Manager proficiency which includes 2 years experience in a registered capacity 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
- As this position is posted in several locations, we specify that 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.

**Along with one of the three courses required to be a Dealing Representative of a Mutual Fund Dealer**:

- Canadian Investment Funds Course Exam
- The Canadian Securities Course Exam
- The Investment Funds in Canada Exam

**Preferred**:

- Investment Dealer Branch Manager Proficiency is an asset.

**What’s in it for you?**
- A caring, supportive, and inclusive culture.
- Great Place to Work® award for Best Workplaces for #HybridWork
- Recognized as a 2024 Best Workplaces in Ontario by Great Place to Work® Canada
- Canada Award for Excellence for Mental Health at Work.

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**:
56,000/56 000 - 93,000/93 000

**Job Category**:
Business Analysis - Process

**Posting End Date**:
18/02/2025