Compliance Analyst, Surveillance and Monitoring

You are as unique as your background experience and point of view. Here youll be encouraged empowered and challenged to be your best self. Youll 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 youll 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:

** This is a 12 month contract opportunity**

Wealth Management Canada Compliance is looking for a Compliance analyst Surveillance and Monitoring to join their dynamic team reporting to the Director Filed Supervision.

The incumbent will be the Tier 2 compliance analyst for Sun Lifes new investment dealer Sun Life Canada Securities Inc. (SLCSI) and Sun Life Financial Investment Services Canada Inc. (SLFISI). The incumbent will have in depth knowledge working within CIRO regulated retail compliance regimes and be knowledgeable of CIROs Investment Dealer Partially Consolidated Rules (formerly IIROC rules) and the Mutual Fund Dealer Rules (Formally MFDA rules) and will have well-rounded knowledge of securities and applicable business conduct compliance requirements.

In this role the successful candidate will be also expected to perform and collaborate Tier 2 surveillance and monitoring client account activity of SLCSI and SLFISI advisor in accordance with Tier 2 internal procedures and regulatory requirements and to actively provide support to SLCSI and SLFISI advisors the Trade Supervision Manager (TSM) and Corporate Branch Manager on surveillance related issues.

What will you do

• Monitor and document daily and monthly head office reviews of client account activity with a focus on criteria outlined in CIRO Policies and other regulatory/corporate guidelines

• Identify trends developing in trading of specific advisors and/or client accounts with an emphasis on suitability concentration potential conflicts of interest unusual transactions misleading and deceptive trading practices conducting detailed analysis and escalating concerns to the TSMs or CBMs and to the director of field supervision where necessary

• Follow up on inquiries from daily and monthly reviews with CBMs TSMs and/or advisors

• Prepare weekly monthly quarterly summaries and ad hoc reports as required

• Function as a key point of contact and subject matter expert on surveillance related inquiries and requests from employees and Branches (including advisors Corporate Branch Managers and support staff)

• Will also be delegated additional core tasks such as email surveillance reviewing and maintaining pro-accounts and other tasks as warranted

• Will be delegated additional projects as warranted

• Foster a culture of compliance throughout the organization by promoting ethical behavior accountability and adherence to regulatory standards

• Liaise regularly with the other members of the Canadian Compliance team

• Continually evaluate the effectiveness of departmental procedures and participate in developing maintaining and implementing changes to the policies and procedures

• Work on special projects as requested

What do you need to succeed

• University degree or college diploma

• More than 3 years experience in compliance supervision trade surveillance within Financial Services

• PC literate with advanced knowledge of MS Office (Excel Outlook PowerPoint and Word)

• Completion of Canadian Securities Course (CSC)

• Completion of Conduct and Practices Handbook (CPH)

• Completion of Branch Manager Course

• Ability to work effectively and efficiently in a fast-paced environment

• Detail oriented extremely self-motivated dedicated and a good team player

• Able to handle multiple tasks and priorities effectively

• Proven ability to communicate key regulatory concepts to different stakeholders with excellent business acumen and communication skills both verbal and written

• Ability to navigate within a multi-matrix organization in a fast-paced environment

• Exercise professional development strong influencing skills sound judgement is comfortable with data and can work in a digital environment

• Proven ability to build relationships and influence change

Whats 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

• Were 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

• Were 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

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 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 .

We are proud to be a hybrid organization that offers our employees the choice and flexibility to work from both the office and virtually based on the needs of the business our Clients and you! Several 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.

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