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|Address||, Waterloo, ON,
|Company||Sun Life Financial|
|Job Type||Please Contact|
Role Summary: Reporting to the AVP, Dealer Regulatory & Product Shelf Management in Individual Insurance and Wealth Business Unit, this Director will be passionate about delivering an exceptional 'customer experience' and continuously realizing improvements that support Dealer Regulatory Initiatives. |
The Director will oversee a team of 8-12 Associate Supervisory Managers (ASM) and will be primarily responsible for compliance oversight and market conduct of Sun Life Financial Centres (FC) and their advisors within their designated region. The Director will act with a very high level of independence in the performance of their duties to ensure that FCs and advisors are well aware and educated on matters related to compliance and best practices. The Director may be called upon as an expert compliance resource person in the field of regulatory compliance and general market conduct for both mutual fund and insurance related activities.
ASM Oversight and Support- Review of trade volume reports (daily, weekly, monthly) to ensure ASMs are able to meet and complete their daily trade review requirements- Adjust ASM clusters by re-assigning FCs to other ASMs or assign multiple ASMs to to ensure clusters are equally split- Ensure adequate coverage is in place during ASM absences (ie Vacation, sick days, ad hoc branch visits)- Conduct bi-weekly meetings to ensure Corporate and Dealer policies and procedures are being properly applied and to discuss any noted areas/items of concern as raised by ASMs
Review of Trend Analysis and Concentration Reports - Review of monthly & quarterly Concentration Reports to identify potential areas of concern or unfavorable trading practices related to leveraging, high risk fund concentration, and DSC trading
Financial Centre and Administrative Support- Conduct regular quarterly meetings with Financial Centre Managers ("FCMs"), including Sales Managers, Advisors, and administrative staff within the defined regions with a focus on training and building overall compliance awareness- The training initiatives are with respect to regulatory requirements, best practices, and supporting administrative functions in order to conduct ongoing dealer business from a compliance and risk management standpoint- The training may be completed independently for each noted group above (FCM, Supervisory Managers, Advisors and Admin Staff) or collectively via onsite presentation or remotely via Webex presentation, in support of the training and best practices objectives, including:
. Corporate Compliance Initiatives. Best Practices. FCM Concerns. Advisor & Admin Staff Concerns. ASM Identified Issues/Concerns and Corporate Response. Market Conduct Examination Issues. Policies and Procedures Updates. SVi App/Univeris Support. Administrative Best Practices for Advisor Support
CSF Integration Support- In collaboration with the Regional Vice Presidents ("RVP") and Regional Managers ("RM"), the Director will ensure that new Advisors are made aware of SLF&'s compliance policies and procedures. The Director&'s primary responsibilities will include, but not be limited to:. Identifying any areas of concern or potential need for focus for an Advisor&'s book of business;. Providing Advisors, FCMs, FC administrative staff and Head Office employees with one point of contact regarding compliance related inquiries; and. Provide and ensure adequate training and education of ASMs, FCMs, SMs and their FC admin staff with respect to regulatory and corporate policies and procedures and new initiatives.Market Conduct Audit Support- Upon request from the Director, Market Conduct Audits, the Director may assist with the following:. Ad hoc branch visits for follow up on specific action plan;. Attend onsite Market Conduct Audit visits to FCs, branch/sub-branch/non-occ locations; and. Information gathering related to specific FCs &/or advisors.
Complaint/Conduct Investigation Support- Upon request from the Director, Compliance Investigations & Complaints, the Director may assist with:. Information gathering;. Run and review trade reports; and. Conduct ad hoc visits to a branch or sub-branch to review the noted issue related to a Rep&'s complaint or conduct and other tasks related to the case.
Head Office Support. The Director is the point of contact for ASMs, FCMs, RMs and RVPs regarding complex or unusual compliance questions or issues. The Director will resolve any unresponsiveness to inquiries, repetitive deficiencies, need for training or intervention or any other serious matter, and escalate to the AVP when required.. Provide monthly reports to the AVP regarding trading volumes/oversight, noted trends and issues identified within their respective region.. The Director will also support requests from the AVP for ad hoc projects and/or corporate initiatives.
Registration Support. The Director will review the New Recruitment Packages for prospect Advisors joining the CSF in their respective region; and. When required, the Director will assist with the review and approval of Outside Activities ("OA") held by Advisors in their respective region.
The chosen candidate will be required to maintain good relationships with SLFISI and SLFD Head Office staff with whom they will often collaborate. The candidate will attend the regional Sales Congress and local FC Wealth Day events.
Competencies. Minimum of 5 years of industry experience and knowledge of compliance standards and practices. Minimum of 3 years of experience in managing a team of 8-12 professionals, some of which may be in remote locations. Knowledge of mutual fund/insurance laws and regulations, and the ability to apply these in practical situations. Financial services sales or service experience. Strong interpersonal relationship skills. Strong diplomatic and negotiation skills. Judgment and adaptability depending on the stakeholder. Stress management and self-control. Ability to be client-centric and targeted towards service improvement . Ability to set priorities and work under pressure . Strong focus on client service, patience, calm, thoroughness, professionalism and courtesy. Sense of teamwork. Organization skills and autonomy. Strong oral and written communication skills. Bachelor&'s degree in a related discipline. Successful completion of Canadian Investment Funds Course (IFIC) or Canadian Securities Course (CSI), and the corresponding Branch Managers' exam. Successful completion of the LLQP or completion within 12 months . Successful completion of the OPD or PDO or completion within 6 months. Good knowledge of compliance and regulatory requirements. Good knowledge of financial products and services. Good knowledge of insurance sector
Assets. Canadian Investment Funds Operations Course is an asset. Career Sales Force experience is an asset. Branch audit experience is an asset
Unique Requirements. Travel will be required to Sun Life Financial Centres that are part of the area of accountability and occasionally Head Office. 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