Senior Investigator, Complaints & Investigations, Wealth Management Compliance

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 Senior Investigator is responsible for the handling of supervisory investigations involving advisor misconduct and regulatory inquiries.

The role reports to the Director, Regulatory Complaints, Investigations and Inquiries, within Wealth Management Compliance of Sun Life Canada Compliance.

The Senior Investigator will be responsible for investigating allegations of misconduct within our Wealth and Insurance distribution channels.

They will also review trends and assist in designing controls for prevention and deterrence of dishonest and fraudulent activities, and activities which put Sun Life and its clients at risk.

What will you do?

• Work within a team of Compliance Managers / Senior Investigators / Analysts responsible for resolving client complaints, conducting internal investigations, and managing regulatory inquiries
• Take ownership of assigned investigation files / regulatory inquiries
• Manage reporting obligations to the CIRO via the Member Event Tracking System (METS), the Complaints and Settlement Reporting System (COMSET) and ensure timeliness of reporting
• Ensure thorough documentation of the internal investigation including the evidence, analysis and final outcome. Maintain complete records for all assigned files
• Conduct fulsome investigations / reviews that satisfy regulatory and business expectations and ensure accurate determination of whether the activity or activities under investigation occurred
• Recommend appropriate internal discipline and client remediation where applicable
• Accurately identify, assess, and report risks and trends for the business
• Where relevant, offer appropriate solutions to address gaps and deficiencies identified during reviews, and track completion of recommended action

What do you need to succeed?

• In-depth knowledge of insurance and investments, mutual funds, debt instruments, & segregated fund products
• In-depth knowledge of securities and insurance regulatory requirements, policies, guidelines and expectations
• Relevant industry work experience, e.g. Mutual Fund / Investment Dealer experience
• Comfortable with data and working within a digital environment
• Must have a high level of integrity and a complete commitment to confidentiality
• Strong investigative, decision making, influencing, analytical and mathematical skills
• Excellent partnering skills to build relationships with key business partners
• Ability to self-manage and work independently but also as a member of a team

Qualifications and assets :

• University degree or college diploma
• 5 - 10 years experience in complaint handling, internal investigations, and compliance experience
• Investment Funds in Canada (IFIC) or Canadian Securities Course (CSC) and Branch Managers Course (CSI or IFSE) or equivalent
• Working knowledge of SalesForce, Univeris or other Books and Records systems
• Fluency in French and English languages preferred
• Able to travel within Canada on very short notice (next day potentially)
• Valid driver's license

What's in it for you?

• Time off giving you the flexibility to focus on the moments that matter including 20 vacation days per year
• Flexible Benefits from the day you join to meet the needs of you and your family
• Pension Plan participation starts immediately, and you are automatically enrolled. We help you save more with Sun Life automatic and matching contributions and by including both your salary and bonus when making
• contributions.
• The opportunity to move along a variety of career paths with amazing networking potential
• Flexible hybrid work model
• Work and professional development that is united by our Purpose : to help Clients and Employees achieve lifetime financial security and live healthier lives
• A friendly, collaborative, and inclusive culture
• We're honoured to be recognized as a 2024 Best Workplace in Canada by Great Place to Work® Canada
• Sun Life ranked one of the 2023 Global 100 Most Sustainable Corporations in the World on the Corporate Knights' 2023

LI-Hybrid

The Base Pay range is for the primary location for which the job is posted. It may vary depending on the work location of the successful candidate or other factors.

In addition to Base Pay, eligible Sun Life employees participate in various incentive plans, payment under which is discretionary and subject to individual and company performance.

Certain sales focused roles have sales incentive plans based on individual or group sales results.

Diversity and inclusion have always been at the core of our values at Sun Life. A diverse workforce with wide perspectives and creative ideas benefits our clients, the communities where we operate and all of us as colleagues.

We welcome applications from qualified individuals from all backgrounds.

Persons with disabilities who need accommodation in the application process or those needing job postings in an alternative format may e-mail a request to redacted .

At Sun Life we strive to create a flexible work environment where our employees are empowered to do their best work. Several flexible work options are available and can be discussed throughout the selection process depending on the role requirements and individual needs.

We thank all applicants for showing an interest in this position. Only those selected for an interview will be contacted.

Salary Range :

76,000 / 76 000 - 125,000 / 125 000

Job Category : Compliance

Compliance

Posting End Date : 27 / 09 / 2024

27 / 09 / 2024