Bilingual Tier 2 Compliance officer
4 weeks ago
Job Description
:Wealth Management Canada Compliance is looking for a Compliance Officer, Surveillance and Oversight to join their dynamic team, reporting to the Director, Filed Supervision.
The incumbent will be the Tier 2 compliance officer for Sun Life’s new investment dealer, Sun Life Canada Securities Inc. (SLCSI), and will assist in the development and implementation of the Tier 2 surveillance and oversight program. The incumbent will have in depth knowledge working within CIRO regulated (formerly IIROC) retail compliance regimes and be knowledgeable of CIRO’s Investment Dealer Partially Consolidated Rules (formerly IIROC rules) and will have well-rounded knowledge of securities and applicable business conduct compliance requirements.
In this role, the successful candidate will be also expected to perform and collaborate in monitoring client account activity of SLCSI advisors in accordance with Tier 2 internal procedures and regulatory requirements and to actively provide support to SLCSI advisors and Trade Supervision Managers (TSM) on surveillance related issues.
What You Will Do
Assist in the development and implementation the retail wealth management trade surveillance program covering SLCSI.
Assist in the development of Trade surveillance policies and procedures.
Assist in the development of the oversight program policies and procedure.
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 developing in trading of specific advisors and/or client accounts with an emphasis on suitability, concentration, potential conflicts of interest, unusual transactions, misleading and deceptive trading practices, conducting detailed analysis and escalating concerns to the TSM and to the director of field supervision where necessary.
Follow up on inquiries from daily and monthly reviews with TSMs and/or advisors.
Prepare weekly, monthly, quarterly summaries and ad hoc reports as required.
Function as a key point of contact and subject matter expert on Surveillance related inquiries and requests from employees and Branches (including advisors, Branch Managers, and support staff)
Will also be delegated additional core tasks such as email surveillance, reviewing and maintaining pro-accounts and other tasks as warranted.
Foster a culture of compliance throughout the organization by promoting ethical behavior, accountability, and adherence to regulatory standards.
Liaise regularly with the other members of the Canadian Compliance team.
Provide training to new compliance analyst and other staff members.
Continually evaluate the effectiveness of departmental procedures and participate in developing, maintaining, and implementing changes to the policies and procedures
Work on special projects as requested.
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.
University degree or college diploma
More than 5 years 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.
Able to handle multiple tasks and priorities effectively.
Proven ability to communicate key regulatory concepts to different stakeholders with excellent business acumen, and communication skills both verbal and written.
Ability to navigate within a multi-matrix organization in a fast-paced environment.
Exercise professional development, strong influencing skills, sound judgement, is comfortable with data and can work in a digital environment.
Proven ability to build relationships and influence change.
What’s in it for you?
Opportunities to learn new skills, grow and move into different roles
Trusting, diverse and inclusive working environments
Supportive leadership who’s focused on your success and well-being
We offer a number of programs and offerings to help our Employees achieve lifetime financial security and live healthier lives, some of these include:
Comprehensive benefits
Retirement & stock investment
Pay for performance reward
Wellness programs, benefits and health incentives
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