Trade Supervision Manager

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 a Manager, Trade Supervision Oversight, this Trade Supervision Manager (“TSM”) is part of a team which provides first-line oversight of trading and other activities of advisors and field leaders to ensure we are meeting regulatory obligations and Sun Life policies.

• Conduct Tier 1 supervision activities, including daily and monthly trade reviews, close supervision and new registrant supervision.
• Effectively managing queries and other tasks to support trade supervision within the broader team.
• Through daily trade review activities identify and help resolve issues impacting risk, regulatory requirements, and our policies and procedures.
• 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
• Collaborate with Trade Supervision team members and with other BG&C colleagues to achieve BG&C objectives.
• Complete other duties as assigned.