Bilingual Compliance Monitoring Specialist

at  Sun Life

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 Director, Wealth Oversight Programs, the Compliance Monitoring Specialist (CMS) conducts regular and targeted monitoring and investigations to ensure Sun Life, its advisors and its employees are meeting regulatory obligations and business objectives in selling investment products, mutual funds, segregated funds, and life and health insurance.
Location: Primarily work from home

• Develop, enhance and execute various monitoring and testing programs for both the wealth and insurance lines of business.
• Complete ad hoc targeted reviews of advisor business and sales practices in response to “red flags” identified by the team or by other stakeholders.
• Conduct various quality assurance activities supporting the Oversight Programs team.
• Conduct regular trending analysis from audit and/or oversight programs to identify and investigate issues.
• 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.
• Serve as SME in various regulatory initiatives and/or support RA&S’s Learning and Development team in building compliance elements into their training 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.