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Date Listed 01-Dec-16
Address , Waterloo, ON,
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Company Sun Life Financial
Job Type Please Contact

The Associate Supervisory Manager (ASM) reports directly to the Director, Regional Supervisory Management (RSM) with added oversight by the AVP, Dealer Regulatory& Product Shelf Management. The ASM is responsible for completing daily Tier-1 compliance reviews and general market conduct of all advisors and Financial Centres assigned to them.

Key Accountabilities
. Daily Mutual Fund & Seg Fund trade supervision, including:
. Review of all new account openings
. Review of all KYC updates
. Review of all applicable trading activity as defined by regulatory &/or internal thresholds, including inquiry resolution
. Oversight of advisors on Close Supervision and Market Conduct Watch
. Office visits for all registered advisor business addresses
. Client file reviews for both mutual fund and insurance, including periodic review of FNA and Policy Replacement forms
. Monthly review of Persistency Reports and subsequent action items, as required
. Oversight and training of best practices for administrative routines for advisors
. Oversight and follow up on warning letter action items
. Assist supervisory staff with onsite reviews of applicable locations, as assigned by the RSM
. Compliance training and consulting for advisors, FC management, FC staff and admin staff of advisors, as assigned by RSM
. Engagement in the Market Conduct Audit process related to trade supervision including action plan execution
. Build and maintain relationships/partnerships with FC Management, advisors, FC Staff, admin staff, and Head Office Dealer and Compliance staff
. Responsible for monitoring that advisors are complying with regulatory requirements and duties and following company policies and practices including code of business practice relating to the distribution of life, health and wealth products
. Monitoring of Outside Business Activities (OBA) for those advisors with OBAs (**shared by FCM & new RSM)
. Any other compliance related tasks that may arise

. Meets MFDA Branch Manager status 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 within 6 months of role start date
. Knowledge and experience of industry compliance standards and practices
. Knowledge of insurance laws and regulations, and the ability to apply it in practical situations
. Financial services sales or service experience
. Good working knowledge of industry distribution systems
. Knowledge of life insurance, health insurance and wealth product lines
. Exceptional interpersonal and communication skills and ability to negotiate at all levels of the organization
. Strong organizational skills
. High degree of integrity and ethics

. Bilingualism - English and French (written and spoken)
. Knowledge of platform
. Excellent presentation skills
. Proven training skills
. Understanding of commission arrangements, advisor contracts, and the code of business practice for advisors
. Awareness of other laws and regulations, such as the criminal code, and other aspects of civil and common law
. Career Sales Force experience
. Branch Audit knowledge/experience

Unique Requirements
. Travel will be required for site visits for non-occupant advisors and other Financial Centres that are part of the area of accountability
. Valid Driver&'s license
. Background check will be completed for all applicants

The Individual Insurance and Wealth business unit represents close to 30 per cent of all Sun Life Financial global revenue and more than 50 per cent of Canadian earnings. We're a top provider of life, health and wealth products in the Canadian marketplace.

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We thank all applicants for showing an interest in this position. Only those selected for an interview will be contacted.Please click here to Apply On-Line.
Sun Life Financial
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