Compliance Analyst, Complaints, Investigations and Regulatory Inquiries

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 Compliance Analyst role within the Wealth Management Compliance team, provides support and assistance to facilitate efficient work-flow, record-keeping, and manage reporting obligations, for the Complaints, Investigations and Regulatory Inquiries program.
The role will report to the Compliance Manager, Market-Based Complaints, focusing on Compliance processes and programs related to Sun Life Financial Distributors Canada Inc., Sun Life Financial Investment Services (Canada) Inc. and Sun Life Canada Securities Inc. The Analyst will perform daily tasks of various compliance programs including support of Complaint and Investigation files and Regulatory Inquiry support.

WHAT DO YOU NEED TO SUCCEED?

The Analyst must be able to manage time effectively on multiple concurrent tasks. In addition to demonstrating a genuine passion for working in teams and delivering first-class service, the incumbent must possess the following to be successful in this role:

• 2 - 5 years of relevant working experience in financial services and post-secondary education in a related field
• Understanding of market-based wealth and insurance products
• Knowledge of provincial laws and regulations governing mutual funds, and insurance products
• Completion of mutual fund industry education or equivalent courses (e.g. IFIC or CSC)
• Able to apply professional judgment where escalation is required related to issues that arise
• Able to apply company policies, guidelines and procedures, and industry practices as they emerge
• Proven ability of strong attention detail; analytical and problem solving skills
• Solid communication, relationship management and influence skills
• Comfortable seeking direction and eager to do any necessary research to get the answer

WHAT WILL YOU DO?

• Work within a team of Compliance Managers & Senior Investigators responsible for handling regulatory complaints, conducting internal investigations, and managing regulatory inquiries.
• Take ownership of the complaints and investigations intake process. Triage files to Compliance Managers/Senior Investigators for action.
• Manage reporting obligations to the CIRO via COMSET/METS for reportable complaints and investigations.
• In collaboration with the team, monitor the Complaints, Investigations and Regulatory Inquiries mailboxes, and respond to inquiries.
• Take ownership of the Complaints, Investigations and Regulatory Inquiry logs, SharePoint sites and records.
• Assist with the handling of less complex investigations/complaint files under the direction of Manager, Complaints.

The Analyst must be able to manage time effectively on multiple concurrent tasks. In addition to demonstrating a genuine passion for working in teams and delivering first-class service, the incumbent must possess the following to be successful in this role:

• 2 - 5 years of relevant working experience in financial services and post-secondary education in a related field
• Understanding of market-based wealth and insurance products
• Knowledge of provincial laws and regulations governing mutual funds, and insurance products
• Completion of mutual fund industry education or equivalent courses (e.g. IFIC or CSC)
• Able to apply professional judgment where escalation is required related to issues that arise
• Able to apply company policies, guidelines and procedures, and industry practices as they emerge
• Proven ability of strong attention detail; analytical and problem solving skills
• Solid communication, relationship management and influence skills
• Comfortable seeking direction and eager to do any necessary research to get the answe