City : Toronto

Category : Full-time

Industry : Finance

Employer : Sun Life Financial

Vous êtes unique, comme le sont votre parcours, votre expérience et votre façon de voir les choses. Ici, on vous encourage et on vous motive à donner le meilleur de vous-même, et on vous donne les moyens de le faire. Vous travaillerez avec des collègues dynamiques – experts dans leur domaine – qui sont impatients de partager leurs connaissances avec vous. Vous aurez des gestionnaires inspirants qui vous aideront à développer votre potentiel et à atteindre de nouveaux sommets. Chaque jour, vous aurez de nouvelles occasions de rendre la vie de nos Clients plus radieuse – ils sont au cœur de tout ce que nous faisons. Découvrez comment vous pouvez faire une différence dans la vie des gens, des familles, des collectivités – ici et partout dans le monde.

Description de poste:

About the role:

Reporting to the Director, Wealth Oversight Programs within the Business Governance and Controls function (BG&C), Managed Accounts Supervisor will:

• Be registered with CIRO to supervise the activities of Portfolio Managers and managed accounts
• Lead a team of Account Opening Branch Managers with Sun Life Canada Securities Inc (SLCSI)
• Act as the first point of escalation for Corporate Branch Managers

You will be accountable for running a robust managed account supervision program for Sun Life Canada’s investment dealer. You will partner closely with internal partners including operations, the product team and Tier 2 compliance to ensure that our oversight and supervision programs meet regulatory requirements and expectations. You will also play a key role in supporting change within the organization as the Canadian Investment Regulatory Organization (CIRO) rules and requirements evolve.

 You will be registered with CIRO as a designated supervisor of managed accounts and will have in-depth knowledge and experience in a broad range of products and services offered by investment dealers, with a strong understanding of regulatory requirements as they impact business activities, including regulatory and industry trends.  

What will you do?

• Support the creation and maintenance of supervision programs and related procedures for managed accounts to ensure compliance with regulations.
• Regulatory Supervision: Conducting supervision for managed accounts including reviewing trading activity and reports. Execute effective and efficient managed account supervision and supervision of registrant functions of our investment dealer to ensure compliance with regulatory requirements and established policies, practices and procedures.
• Account Opening and Maintenance: review and approve new accounts and material KYC updates.
• Sit on the managed account committee
• Manage, address and when appropriate escalate various first line supervision risk and compliance issues and audit findings in a timely manner.
• Proactively monitor trends with tier 1 supervision and advisor behavior to identify control gaps to continually refine and help enhance BG&C’s oversight programs. This includes identifying data, reporting, tools and technology needs with BG&C leadership to improve productivity and execution of supervision accountability, and support building/executing against the BG&C capabilities roadmap.
• Subject Matter Expertise: Support investment dealer initiatives and strategies by providing subject matter expertise on supervision and compliance to ensure effective and efficient controls and oversight programs are put in place and/or are enhanced.
• Act as a point of escalation for Branch Managers on managed and non-managed account supervision related issues.
• Foster a positive work environment
• Build and support a diverse and inclusive workforce

What do you need to succeed?

• University degree and 8+ years of progressive experience within the financial services sector; at least 5 years relevant experience working for an investment dealer
• Extensive knowledge and understanding of regulatory requirements for investment dealers regulated by CIRO (formerly IIROC and MFDA) and the CSA.
• Excellent judgement and a growth mindset. Be willing to challenge status quo and lead change
• Excellent communication skills, with comfort presenting to large groups as well as different audiences, including senior leadership, internal examination teams, advisors and external regulators
• Experience working in an OSFI-regulated environment, with alignment to three lines of defense model

• Minimum of 2 years of relevant experience which includes previous registration as a designated supervisor of managed accounts for at least 1 year (within the past 3 years). For registration at least one of the below three requirements:

• Canadian Investment Manager Designation administered by CSI Global Education Inc.
• Chartered Investment Manager Designation administered by CSI Global Education Inc.
• CFA Charter administered by the CFA Institute
• If the candidate has 1 year of relevant experience, but less than 2 years, then the completion of the Canadian Investment Regulatory Exam.

Preferred Skills:

• Previous experience working collaboratively in a matrixed organization and managing complex projects is an asset
• Bilingualism (French, English, both oral and written) is an asset for the interactions with English and French-speaking colleagues or internal partners across Canada and worldwide.

Unique Requirements:

• Up to 10% travel time

What's in it for you?

• Hybrid work environment
• A friendly, collaborative, and inclusive culture
• 20 vacation days per year
• Flexible Benefits from the day you join to meet the needs of you and your family
• Pension, stock and savings programs to help build and enhance your future financial security
• The opportunity to move along a variety of career paths with amazing networking potential
• Access to our Global Learning Centre, available 24/7 for your learning needs
• Wellness programs that support the three pillars of your health – mental, physical and financial

Recent Awards:

• We are honoured to be recognized as a 2022, 2023, 2024 and 2025 Best Workplaces in Canada by Great Place to Work® Canada
• Great Place to Work® list for Best Workplaces for #HybridWork 2022
• Great Place to Work® list for Best Workplaces for Professional Development in Canada 2022
• Named “Best Places to Work” by Glassdoor, 2021 and 2023

L’échelle du salaire de base est pour l’emplacement principal du poste affiché. Elle peut varier selon l’emplacement du candidat sélectionné et d’autres facteurs. En plus du salaire de base, les employés admissibles de la Sun Life participent à différents programmes de rémunération incitative, dont le montant octroyé est discrétionnaire et dépend du rendement de l’employé et de la compagnie. Certains postes de vente participent à des programmes de rémunération incitative basés sur les résultats de vente individuels ou de groupe. 

Depuis toujours, la diversité et l’inclusion sont au cœur des valeurs de la Sun Life. Nous croyons qu’un effectif diversifié, aux points de vue variés et aux idées créatives, est avantageux pour nos Clients, pour les collectivités où nous exerçons nos activités et pour nous tous, en tant que collègues. Nous accueillons avec enthousiasme les candidatures de personnes compétentes provenant de tous les horizons.

Les personnes handicapées ayant besoin de mesures d’adaptation pour présenter leur candidature et celles qui doivent consulter les offres d’emploi dans un autre format peuvent envoyer leur demande par courriel à l’adresse thebrightside@sunlife.com.

Nous sommes fiers d’être une organisation hybride qui offre aux employés le choix et la flexibilité de travailler au bureau ou à distance, selon les besoins de l’entreprise, ceux des Clients et les vôtres! Nous offrons plusieurs options de travail selon les exigences du poste et les besoins individuels. N’hésitez pas à en discuter pendant le processus de sélection.

Nous pouvons utiliser l'intelligence artificielle pour soutenir la recherche des candidats, la présélection et la planification des entrevues.

Nous remercions toutes les personnes qui auront manifesté leur intérêt pour ce poste. Nous ne communiquerons qu’avec celles retenues pour une entrevue.

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