Trade Supervision Manager

You are as unique as your background experience and point of view. Here youll be encouraged empowered and challenged to be your best self. Youll 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 youll 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:

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 Clients interests and experience first.

Reporting to a Manager Trade Supervision Oversight this Trade Supervision Manager (TSM) is part of a team which provides first-line oversight of trading and other activities of advisors and field leaders to ensure we are meeting regulatory obligations and Sun Life policies.

Accountability overview:

• Conduct Tier 1 supervision activities including daily and monthly trade reviews close supervision and new registrant supervision.

• Effectively managing queries and other tasks to support trade supervision within the broader team.

• Escalate unresolved issues and areas of concern to the Manager Trade Supervision Oversight.

• Through daily trade review activities identify and help resolve issues impacting risk regulatory requirements and our policies and procedures.

• Proactively collaborate with the Compliance Best Practices team to identify issues and provide training and coaching to field leaders and advisors to improve compliance outcomes.

• Proactively identify and share opportunities for improvement in policies processes tools and reporting across the compliance ecosystem

• Collaborate with Trade Supervision team members and with other BG&C colleagues to achieve BG&C objectives.

• Stay current with industry and regulatory knowledge and expectations through continued education.

• Complete other duties as assigned.

Skills and experience:

Mutual Fund Dealer Branch Manager proficiency which includes 2 years experience in a registered capacity and completion of any one of the following:

• Branch Managers Course Exam (CSI)

• Mutual Fund Branch Managers Examination Course Exam (IFSE)

• Branch Compliance Officers Course Exam (CSI)

Along with one of the three courses required to be a Dealing Representative of a Mutual Fund Dealer:

• Canadian Investment Funds Course Exam

• The Canadian Securities Course Exam

• The Investment Funds in Canada Exam

• Strong knowledge of and experience with mutual fund industry compliance standards and practices

• Excellent organization and time management skills

• High degree of integrity and ethics; good judgement

• Interpersonal and communication skills

• Bilingualism (French English both oral and written) is an asset.

• Investment Dealer Branch Manager Proficiency is an asset

#LI-Remote

The 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 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 .

We are proud to be a hybrid organization that offers our employees the choice and flexibility to work from both the office and virtually based on the needs of the business our Clients and you! Several work options are available and can be discussed throughout the selection process depending on the role requirements and individual needs.

We may use artificial intelligence to support candidate sourcing screening interview scheduling.

We thank all applicants for showing an interest in this position. Only those selected for an interview will be contacted.

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