Business Oversight Specialist

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.

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 Client’s interests and experience first.

Reporting to the Manager, Business Regulatory Oversight, the Business Oversight Specialist (BOS) plays a key role in delivering strategic oversight within the first line of defense by identifying and escalating regulatory and business risks.

This role supports the execution of various oversight and monitoring programs to ensure Sun Life, its advisors and its employees are meeting regulatory obligations and business objectives in selling mutual funds and investment products.

The BOS works collaboratively with internal partners, including advisors and field leaders to help uphold compliant business practices and improve the effectiveness of conduct oversight.

What will you do?

• Conduct various oversight and monitoring programs for the Wealth business (our Mutual Funds dealer and Investment dealer)
• Support the design and continuous improvement of oversight and monitoring programs.
• Complete ad hoc targeted reviews of advisor business and sales practices in response to potential risks or flagged issues.
• Contribute to data collection, analysis and reporting efforts to identify conduct trends and regulatory risks.
• Conduct various quality assurance activities supporting the Oversight Programs team.
• Assist in documenting and escalating findings, along with recommended mitigation actions.
• Contribute to the development of consumable and relevant reporting based on monitoring and investigative analysis to provide meaningful and actionable insights.
• Collaborate with Trade Supervision, District Regulatory Review and Compliance Best Practices teams, as well as advisors and field leaders to address issues identified through audit programs.
• Proactively identify issues and coaching opportunities for 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.
• Stay current on industry developments and updates to regulations.

What do you need to succeed?

• Excellent knowledge and understanding of Investment products
• Excellent knowledge and understanding of CIRO (formerly IIROC & MFDA) regulations.
• Excellent relationship building, communication and presentation skills.
• Strong analytical, organizational, and problem-solving skills.
• Ability to work independently as well as in a team and manage multiple priorities and timelines.
• Ability to work effectively in a fast-paced, complex and evolving environment.
• Ability to apply critical thinking skills to processes, escalations, and issue resolution.
• High degree of integrity and ethics, good judgement and exceptional interpersonal and communication skills.
• 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; the position reports to a unilingual English-speaking manager outside Quebec.

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 opportunity to work in an environment committed to continuous improvement as well as personal growth and development
• The opportunity for career progression by consistently exceeding your performance goals
• The opportunity to work in a positive, dynamic, and collaborative work environment where you are encouraged to share your ideas.
• Hybrid work environment

#LI-Hybrid 

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 thebrightside@sunlife.com.

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

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