Bilingual Manager, Trade Supervision

3 weeks ago

Montréal, Canada Sun Life Full time

Job Description

:

Reporting to the Director, Wealth Oversight Programs within the Business Governance and Controls function (BG&C) within Retail Advice & Solutions, this role of Trade Supervision Manager is responsible for executing branch manager supervision activities for Sun Life Canada Securities Inc. (SLCSI)

You will be accountable for developing and running a robust, data-driven branch manager supervision program for Sun Life Canada’s investment dealer. You will partner closely with the investment dealer operating team and second line partners to ensure that our oversight and supervision programs meet regulatory requirements and expectations. You will also play a key role in supporting change within the organization as the Canadian Investment Regulatory Organization (CIRO) evolves its rules and requirements.

You will be registered with CIRO as a ‘Supervisor of Registered Representatives or Investment Representatives’ and will have in-depth knowledge and experience in a broad range of products and services offered by investment dealers, with a strong understanding of regulatory requirements as they impact business activities, including regulatory and industry trends. You will be bilingual in French and English with the ability to execute your role in both French and English.

What will you do?

Execute effective and efficient trade supervision and account opening / management functions of our investment dealer-registered advisors to ensure compliance with regulatory requirements and expectations and established policies, practices and procedures.

Manage, address and/or escalate various first line supervision risk and compliance issues and audit findings in a timely manner.

In partnership with second line compliance, develop and implement effective oversight programs for the investment dealer, including a supervisory branch visit program.

Identify appropriate performance metrics (KRIs/KPIs) and proactively identify control gaps and advisor behaviour trends to continually refine and help enhance BG&C’s oversight programs.

Proactively identify data, reporting, tool and technology needs with BG&C leadership to improve productivity and execution of supervision accountability, and support building/executing against the BG&C capabilities roadmap.

Support investment dealer initiatives and strategies by providing subject matter expertise to ensure effective and efficient controls and oversight programs are put in place and/or are enhanced.

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.

Growth mindset - willing to challenge status quo and lead change

Excellent judgement

Excellent communication skills, with comfort presenting to large groups as well as different audiences, including senior leadership, internal examination teams, advisors and external regulators

Work consistently with urgency and purpose

Previous experience working collaboratively in a matrixed organization and managing complex projects is an asset

Availability to travel to conduct supervisory branch visits

University degree and 4+ years of progressive experience within the financial services sector with wealth, life, and health insurance products; at least 2 years relevant experience working for an investment dealer

Extensive knowledge and understanding of regulatory requirements for investment dealers regulated by CIRO (formerly IIROC and MFDA) and Ontario Securities Commission (OSC)

Experience working in an OSFI-regulated environment, with alignment to a three lines of defense model

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)

Reasons why should you join us under the sun

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

• A collaborative and interactive team environment

• Pension Plan participation starts immediately, and you are automatically enrolled. We help you save more with Sun Life automatic and matching contributions and by including both your salary and bonus when making contributions

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

• We’re proud to be recognized as a company with a 2023 Most Trusted Executive team by Great Place to Work® Canada

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