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.
What will you do?
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.
What do you need to succeed?
Must have:
Bilingualism (French, English, both oral and written) is required for the frequent interactions with English and French-speaking colleagues or internal partners across Canada and worldwide
Mutual Fund Dealer Branch Manager proficiency which includes 2 years experience in a registered capacity
Strong knowledge of and experience with mutual fund industry compliance standards and practices
Completion of any one of the following exams:
Requirement 1: One course from the Branch Manager group:
- Branch Manager's Course Exam (CSI), OR
- Mutual Fund Branch Manager's Examination Course Exam (IFSE), OR
- Branch Compliance Officers Course Exam (CSI)
Requirement 2: One course from the Dealing Representative group:
- Canadian Investment Funds Course Exam, OR
- The Canadian Securities Course Exam, OR
- The Investment Funds in Canada Exam
Requirement 3: 2 years of registered experience
Assets:
Excellent organization and time management skills
High degree of integrity and ethics; good judgement
Interpersonal and communication skills
Investment Dealer Branch Manager Proficiency is an asset
What's in it for you?
The opportunity to move along a variety of career paths with amazing networking potential
Flexible Benefits from the day you join to meet the needs of you and your family
We’re committed to creating an inclusive and respectful environment. Our goal is to make sure all our employees have the chance to live up to their full potential
We’re honoured to be recognized as a 2025 Best Workplaces in Ontario by Great Place to Work® Canada
We are thrilled to be recognized by Excellence Canada with their top-level certification, the Canada Order of Excellence for Mental Health at Work®, for prioritizing employee well-being, fostering a positive work culture, and achieving excellence in mental health
*LI-MS
Bilingual Trade Supervision Manager • Moncton, New Brunswick
ABOUT US At HUB International, we are a team of entrepreneurs.We believe in protecting and supporting the aspirations of individuals, families, and businesses.We help our clients evaluate their ris...Voir plus
Become a key Bilingual Territory Sales Manager with a focus on outdoor power tools in Northern Ontario.Your expertise will drive sales growth while managing a robust client base in this remote/fiel...Voir plus
Exciting opportunity for an Account Manager skilled in both French and English.Drive client retention and success while enhancing dealership relationships remotely with innovative software solution...Voir plus
A leading building products company located in Vaughan is seeking a Territory Manager for business development in the outdoor exterior building products sector across Eastern Canada.The ideal candi...Voir plus
Doane Grant Thornton is a large, community‑focused professional services firm that employs over 3,000 people across Canada.We care deeply about our colleagues, our clients, and the communities wher...Voir plus
A leading financial services company is seeking a Bilingual Associate Manager for its Claims team.This remote position involves overseeing daily operations, leading a high-performing team, and ensu...Voir plus
A leading retail company in Bouctouche, NB is seeking an experienced Assistant Store Manager who is bilingual in French and English.This role encompasses leadership in store operations, team develo...Voir plus
Bilingual Performance Manager (Remote – Canada).Vicimus delivers innovative marketing and technology solutions that help automotive dealerships drive results, retain customers, and grow their busin...Voir plus
Inspire your team as a bilingual Assistant Branch Manager.Combine your banking knowledge with leadership to enhance customer service and community engagement, speaking both French and English.Your ...Voir plus
Tarificateur(trice) bilingue principal(e).Le (la) tarificateur(trice) principal(e) assure la rentabilité de la société par le biais de résultats favorables au chapitre de la mortalité en examinant ...Voir plus
A creative studio in Moncton is seeking a bilingual Account Services Manager to nurture client relationships and drive business growth.This hybrid role involves engaging with local communities, man...Voir plus
A leading automotive software provider is looking for a Bilingual Project Manager to join its team in Montreal.The role involves leading software conversion projects for automotive dealerships, ens...Voir plus
A leading crypto exchange is looking for a Business Development Manager to enhance its presence in the global market.You will build and manage institutional partnerships to drive trading volume and...Voir plus
As Bilingual Account Manager (Membership Manager) with Strauss event & association management, you utilize your experience in the promotional products industry and English and French language skill...Voir plus
Drive sales growth as a Bilingual Area Sales Manager.Manage key client accounts while fostering relationships to achieve sales targets and ensure customer satisfaction across the East Coast region....Voir plus
A global education technology company is seeking an Associate Portfolio Manager to support product lifecycle management and market expansion initiatives.Bilingual fluency in Spanish and English is ...Voir plus
Ready to take your success to the next level—with a firm that shares your drive? At Skyline, we're looking for a standout Relationship Manager who's already thriving in high-net-worth sales—and now...Voir plus
A financing provider in Canada is seeking a Bilingual Sales Specialist to establish connections with merchants and borrowers.This remote, commission-only role offers an opportunity to drive growth ...Voir plus
