Job Description

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 tr...

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