Bilingual Home Health Registered Nurse providing skilled nursing care at patients' homes. Focusing on personalized care plans and supporting recovery in diverse communities.
About the role
- Business Oversight Specialist overseeing regulatory compliance in wealth management at Sun Life. Collaborating with advisors to ensure compliant business practices and improve oversight effectiveness.
Responsibilities
- Conduct various oversight and monitoring programs for the Wealth business (our Mutual Funds dealer and Investment dealer)
- Support the design and continuous improvement of oversight and monitoring programs.
- Complete ad hoc targeted reviews of advisor business and sales practices in response to potential risks or flagged issues.
- Contribute to data collection, analysis and reporting efforts to identify conduct trends and regulatory risks.
- Conduct various quality assurance activities supporting the Oversight Programs team.
- Assist in documenting and escalating findings, along with recommended mitigation actions.
- Contribute to the development of consumable and relevant reporting based on monitoring and investigative analysis to provide meaningful and actionable insights.
- Collaborate with Trade Supervision, District Regulatory Review and Compliance Best Practices teams, as well as advisors and field leaders to address issues identified through audit programs.
- 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.
- Stay current on industry developments and updates to regulations.
Requirements
- 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.
- Excellent knowledge and understanding of Investment products
- Excellent knowledge and understanding of CIRO (formerly IIROC & MFDA) regulations.
- Excellent relationship building, communication and presentation skills.
- Strong analytical, organizational, and problem-solving skills.
- Ability to work independently as well as in a team and manage multiple priorities and timelines.
- Ability to work effectively in a fast-paced, complex and evolving environment.
- Ability to apply critical thinking skills to processes, escalations, and issue resolution.
- High degree of integrity and ethics, good judgement and exceptional interpersonal and communication skills.
Benefits
- A friendly, collaborative and inclusive culture
- 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
- Wellness programs that support the three pillars of your health – mental, physical and financial
- An environment of continuous learning and improvement
- Hybrid work environment
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