Investment Dealer Compliance Supervisor
Sun Life Assurance Company of Canada
Shape investment dealer compliance at Sun Life through account supervision, regulatory controls, and advisor oversight in a hybrid work model. Bring sound judgement.This Corporate Branch Manager role supports Sun Life Canada Securities Inc. within Business Governance and Controls. You will supervise registered representatives and new accounts, while overseeing advertising, sales literature, and correspondence. Success requires investment dealer experience, regulatory knowledge, and clear communication.Key Responsibilities:
Perform account and trade supervision activities efficientlyEnsure advisor activities follow policies and regulatory expectationsManage compliance issues and audit findings promptlyProvide subject matter expertise for dealer control initiativesSupport effective investment dealer oversight programsRequirements:
Extensive CIRO investment dealer regulatory knowledgeOntario Securities Commission requirements knowledgeFour-plus years progressive financial services experienceTwo relevant years with an investment dealerExcellent communication and presentation skillsUse investment dealer compliance, account supervision, and communication skills to strengthen oversight as Sun Life’s Corporate Branch Manager.
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Perform account and trade supervision activities efficientlyEnsure advisor activities follow policies and regulatory expectationsManage compliance issues and audit findings promptlyProvide subject matter expertise for dealer control initiativesSupport effective investment dealer oversight programsRequirements:
Extensive CIRO investment dealer regulatory knowledgeOntario Securities Commission requirements knowledgeFour-plus years progressive financial services experienceTwo relevant years with an investment dealerExcellent communication and presentation skillsUse investment dealer compliance, account supervision, and communication skills to strengthen oversight as Sun Life’s Corporate Branch Manager.
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Vacancy posted 1 hour ago
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