Job title: Bilingual Regulatory Business Practices Manager
Company: Sun Life Financial
Job description: You are as unique as your background, experience and point of view. Here, you’ll 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.
Reporting to the Director, Regulatory Business Practices, This role provides Tier 1 supervision oversight for mutual funds and other products sold by Advisors.
The role of Regulatory Business Practices Manager (RBPM) will be responsible for the overall supervision and oversight of Advisor business conduct, practices and standards aligning with regulatory requirements and business priorities as well as other Dealer and Distribution initiatives (Insurance and Wealth).
What will you do?
- Efficient and effective daily trade supervision
- New Registrant and Close Supervision for advisors in the District
- Conduct periodic advisor reviews under MFDA Policy 2
- Advisor coaching to enhance regulatory business practices
- Identify and resolve or escalate issues impacting risk, compliance or regulatory policies resulting from oversight activities
- Grow advisor, field management and internal partner relationships through collaboration and support in order to promote a culture of compliance
- Contribute to the delivery of initiatives and projects
- Demonstrate Owner’s Mindset by taking action and owning outcomes
- Identify and share opportunities for improvement in policies, processes or programs
- Employ critical thinking and judgment to identify and appropriately resolve issues
- Improve Advisor awareness and understanding of rules, regulations and internal policies in order to help them appropriately manage their business risk
- Actively participate in coaching sessions, if and when requested by, the Business Insights and Support team
- Utilize learning tools, increase knowledge through continuing education and keep up to date on industry and regulatory developments
What do you need to succeed?
- Meets MFDA Branch Manager proficiency requirements, which includes successful completion of the Branch Manager’s course (IFIC or CSI) and minimum of two years relevant experience
- Successful completion of CIFC (IFIC) or Canadian Securities Course (CSI)
- Life, and Accident & Sickness licensed, or must obtain licence within 6 months of role start date
- Knowledge and experience of industry compliance standards and practices
- Knowledge of insurance and securities laws and regulations, and the ability to apply it to practical situations
- Good working knowledge of industry distribution systems
- Knowledge of life insurance, health insurance and wealth product lines
- Exceptional interpersonal, written, and oral communication skills and ability to manage relationships at different hierarchy levels.
- Fluently bilingual ( mandatory for Quebec-based positions)
- Strong organizational skills
- High degree of integrity and ethics
- Knowledge of Salesforce.com platform
- Knowledge of Microsoft Office
- Excellent presentation and leadership skills
- Proven training skills
- Awareness of Canadian insurance ad securities industry regulatory environment (Anti-Money Laundering/Anti-Terrorist Financing, Do Not Call, Canada’s Anti-Spam Legislation)
- Career Sales Force experience
- Branch Audit knowledge/experience
- Travel may be required for periodic advisor reviews across the District
- Valid Driver’s license
what’s in it for you?
- Flexible Benefits from the day you join to meet the needs of you and your family
- Pension, stock and savings programs to help build and enhance your future financial security
- Wellness programs that support the three pillars of your health – mental, physical and financial
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 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: 67,400/67 400 – 110,100/110 100
Job Category: Business Analysis – Process
Posting End Date: 01/03/2021
Expected salary: $67400 – 110100 per year
Location: Montreal, QC
Job date: Thu, 18 Feb 2021 02:50:17 GMT