Compliance Analyst, Surveillance and Monitoring

Compliance Analyst, Surveillance and Monitoring Get AI-powered advice on this job and more exclusive features. 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. Job Description This is a 12‑month contract opportunity. Wealth Management Canada Compliance is looking for a Compliance Analyst, Surveillance and Monitoring to join their dynamic team, reporting to the Director, Field Supervision. The incumbent will be the Tier 2 compliance analyst for Sun Life’s new investment dealer, Sun Life Canada Securities Inc. (SLCSI) and Sun Life Financial Investment Services Canada Inc. (SLFISI). The incumbent will have in‑depth knowledge of CIRO‑regulated retail compliance regimes and be knowledgeable of CIRO’s Investment Dealer Partially Consolidated Rules (formerly IIROC rules) and the Mutual Fund Dealer Rules (formerly MFDA rules). The role requires well‑rounded knowledge of securities and applicable business conduct compliance requirements. What will you do? Monitor and document daily and monthly head office reviews of client account activity with a focus on criteria outlined in CIRO policies and other regulatory/corporate guidelines. Identify trends in trading of specific advisors and/or client accounts, emphasizing suitability, concentration, potential conflicts of interest, unusual transactions, misleading and deceptive trading practices, and conduct detailed analysis. Escalate concerns to the TSMs or CBMs and to the director of field supervision when necessary. Follow up on inquiries from daily and monthly reviews with CBMs, TSMs and/or advisors. Prepare weekly, monthly, quarterly summaries and ad‑hoc reports as required. Serve as a key point of contact and subject‑matter expert on surveillance‑related inquiries and requests from employees and branches. Perform additional core tasks such as email surveillance, reviewing and maintaining pro‑accounts, and other tasks as warranted. Work on special projects as requested. What do you need to succeed? University degree or college diploma. More than 3 years of experience in compliance, supervision, trade surveillance within financial services. PC literate with advanced knowledge of MS Office (Excel, Outlook, PowerPoint, and Word). Completion of Canadian Securities Course (CSC). Completion of Conduct and Practices Handbook (CPH). Completion of Branch Manager Course. Ability to work effectively and efficiently in a fast‑paced environment. Detail oriented, extremely self‑motivated, dedicated, and a good team player. Ability to handle multiple tasks and priorities effectively. Proven ability to communicate key regulatory concepts to different stakeholders with excellent business acumen. Ability to navigate within a multi‑matrix organization in a fast‑paced environment. Strong influencing skills, sound judgement, and comfort with data and digital environments. Proven ability to build relationships and influence change. What’s 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, ensuring all employees have the chance to live up to their full potential. Recognized as a 2025 Best Workplace in Ontario by Great Place to Work® Canada. Recognized by Excellence Canada with the Canada Order of Excellence for Mental Health at Work®. Salary Range 60,000–97,000 CAD. Job Category Compliance. Posting End Date 26 Nov 2025. #J-18808-Ljbffr