Job Description

You are as unique as your background, experience and point of view. Here, you\xe2\x80\x99ll 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.: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\xe2\x80\x99s interests and experience first.We are seeking a Regulatory Review Analyst who is looking to grow their mutual fund and investment distribution compliance knowledge and experience. This role provides the opportunity to work with field leaders and different functional areas, and to build a professional career in compliance.Regulatory Review Analyst reports directly to Senior Consultant, District Regulatory Review Program and will be responsible for performing ongoing and periodic analysis and supporting the Regulatory Review program for Sun Life\xe2\x80\x99s investment and mutual fund dealer.What will you do:Assist with execution of Regulatory Reviews, including conducting advisor interviews and desk file reviews against mutual fund and investment regulatory requirements, and dealer policies and proceduresCompleting in-person registered business location visitsConduct pre-Review data collection and analysisAssess and follow up on outstanding Review findings for mutual fund / investment / life & health insurance.Support the maintenance and continuous improvement of the Regulatory Review programsAssist with daily triaging of the centralized team mailboxPerform other duties and special projects as assigned time to timeWhat do you need to succeed:Working knowledge of the Canadian Investment Regulatory Organization (CIRO) Mutual Fund & Investment Dealer Rules and Bulletins, Securities laws and regulationsBasic understanding of the life & health insurance regulatory requirementsFamiliarity with mutual fund, investment and life & health insurance productsExperience assisting with and/or completing compliance audits or testsAbility to prioritize responsibilities, and complete deliverables and tasks in a deadline-focused environmentStrong analytical, organizational, and problem-solving skillsStrong interpersonal and communication skills and ability to negotiate at all levels of the organizationAdaptability, exceptional organizational skills, and strong attention to detailHigh proficiency with technology: Microsoft Excel, Univeris, Customer Service Workbench (CSW), SalesforceSuccessful completion of the Branch Managers Course and other courses required for the role within 2 months of hireContinuous learning of latest regulatory and internal compliance requirements in mutual fund, investment and insuranceHigh degree of integrity and ethicsAs 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.Unique requirements:Must possess valid Driver\'s licenseExtensive travel across Canada, including travel to remote advisor office locations. The travel requirement could be up to 20%.Mandarin language skill is an assetWhy join Sun Life: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 livesA friendly, collaborative and inclusive cultureA collaborative and interactive team environmentBeing part of our journey in developing the next greatest digital experienceWorking together, sharing common values and encouraging growth & achievement#LI-HybridThe Base Pay range is for the primary location for which the job is posted. It may vary depending on the work location of the successful candidate or other factors. In addition to Base Pay, eligible Sun Life employees participate in various incentive plans, payment under which is discretionary and subject to individual and company performance. Certain sales focused roles have sales incentive plans based on individual or group sales results.Diversity and inclusion have always been at the core of our values at Sun Life. A diverse workforce with wide perspectives and creative ideas benefits our clients, the communities where we operate and all of us as colleagues. We welcome applications from qualified individuals from all backgrounds.Persons with disabilities who need accommodation in the application process or those needing job postings in an alternative format may e-mail a request to .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 - 91,000/91 000Job Category: CompliancePosting End Date: 20/06/2024

Sun Life Financial