SLCSI Trade Specialist

4 weeks ago

Montréal, Canada Sun Life Full time

Job Description

:

This role contributes to the overall Trade Management activities on behalf of the Sun Life Canada Securities Inc. (SLCSI) business. The Trade Support Team is comprised of trade operation professionals committed to supporting the investment process for our advisor and portfolio management network.

We are looking for a highly motivated candidate who can build solid relationships, has a passion for providing high quality customer service, delivers impeccable accuracy, and is eager to expand their career in Operations. The incumbent will have an in-depth knowledge working within CIRO regulations and requirements and of CIRO’s Licensing Requirements.

The Trade Desk Specialist will operate in 2 key areas:

What will you do:

Use leading technologies and systems to ensure a smooth operation of the trade process.

Maintaining and improving our Trade Support processes, systems and data in order to maximize efficiency and minimize risk.

Providing exceptional service and support to our Advisor teams, you will provide Advisors and Associates with best practice concepts and strategies to assist them in making knowledgeable decisions.

Providing real-time advisor trading and fulfillment execution.

Correspond with Trading Desks, Portfolio Management Consultants, Application Support teams, Operations teams, and escalate issues to proper channels.

Function as a key point of contact and subject matter expert on Trade Management related inquiries and requests from employees and Branches (including advisors, Branch Managers, and support.

Continually evaluate the effectiveness of departmental procedures and participate in developing, maintaining, and implementing changes to the policies and procedures.

Participating in internal as well as external regulatory audits.

Knowledge of Tax and CRA forms and requirements, Anti-Money Laundering applicable rules and regulations, Government Policies, etc.

Special projects as requested.

Become primary contact for investors who are referred to our trade desk from our mutual fund advisors.

Take trade instructions from investors and provide guidance where required.

Account administration where required i.e. new account forms, KYC updates, systematic plan instructions, etc.

Focus on each client experience and connect on a personal level to make every interaction meaningful.

Identify activities, processes, and opportunities to improve the client experience.

Resourceful, efficient, and collaborative individual

Foster a culture of compliance throughout the business and organization by promoting ethical behavior, accountability, and adherence to regulatory standards.

What do you need to succeed:

Bilingualism (French, English, both oral and written) is required for the frequent interactions with English and French-speaking colleagues or internal partners across Canada and worldwide.

An undergraduate degree.

Successful completion of all of the following:

Canadian Securities Course OR CFA Level 1 (or higher)

Conduct and Practices Handbook

Investment Dealer Supervisor Course (formerly Branch Manager's Course)

A minimum of 5 years in the financial services industry

Strong and proven understanding of trading securities.

Strong interpersonal skills (empathetic listener, coach, and negotiator), strong communication (oral and written) and customer service focus required.

Comfortable taking several calls, video conferences, and responding to daily emails in a timely manner.

Financial Services and/or Brokerage industry experience and working knowledge of various quotation equipment is required.

Implementing the firm’s policies and procedures

Demonstrated knowledge and understanding of the relevant securities legislation and SRO rules and regulations.

Extensive knowledge of MS Office applications including as Word, Excel, Power Point and Outlook

Ability to work independently and under pressure

Strong conflict resolution, organizational, and communication skills

What's in it for you?

Hybrid work environment.

Being a member of the Sun Life family, a group of people united by our Purpose: to help Clients and Employees achieve lifetime financial security and live healthier lives.

Flexible Benefits from the day you join to meet the needs of you and your family.

A friendly, collaborative, and inclusive culture.

The opportunity to move along a variety of career paths with amazing networking potential.

An environment of continuous learning and improvement.

Access to our Global Learning Centre, available 24/7 for your learning needs.

Wellness programs that support the three pillars of your health – mental, physical and financial.

Work-life balance by scheduling your day around your priorities and having more time to spend on the important things.

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