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Investigator

Sun Life Financial

This is a Full-time position in Toronto, ON posted August 6, 2017.

About the Business:
The Individual Insurance and Wealth (II&W) compliance team strives to enhance compliance oversight and improve processes through increased dialogue with the business, formalized processes, improved communication and on-going verification. We will partner with others to instill a strong compliance culture with a focus on fair treatment of clients.
About the Role:

  • Involved in analysis, investigation and consultation of an area of compliance
  • Analyses data or monitors reports for trends
  • Responds to internal/external inquiries
  • Is aware of legislative/regulatory developments and assists in adjusting of processes
  • May perform audits of sales, quality or operations areas

Responsibilities:

  • Performs standard ongoing audit programs for Mutual Funds trade supervision, needs analysis audit, privacy audits, money laundering audits, etc.
  • Monitors data and analyze sales activities, i.e. LIMRA Cap program, replacements, etc.
  • Performs standard periodic audit analysis and testing for all distribution channels for MF and Insurance, i.e. Clarica, Long Term Care specialists, wholesale
  • From the analysis decides which cases, if any, are to be referred to the Special Investigations Unit – Participate on a limited basis in investigations
  • With the Regional Compliance Manager arranges and presents the findings to the respective Management Team to discuss the results which also includes Advisor interviews and Financial Centre Management questionnaire
  • Collects and analyses data or monitors reports for trends or activity requiring action, and independently prepares reporting on the findings to management
  • Keeps informed of legislative and regulatory developments – Participates in projects

Qualifications:

  • University Degree
  • 3-5 years of experience in Compliance
  • Audit knowledge/experience
  • Sales Force experience
  • Successful completion of LLQP
  • Knowledge and experience with industry compliance regulations, standards and practices
  • Knowledge of insurance laws and regulations, and the ability to apply these in practical situations
  • Good working knowledge of industry distribution systems and independent sales channels
  • Knowledge of life/health/wealth product lines

Preferred skills:

  • Related experience in a similar Auditing/Analyst role
  • Proficient level of communication and relationship management skills
  • Proficient level of analysis skills
  • Results-oriented
  • Proficient level of insurance and security/asset management concepts, principles and terminology Developing level of project management skills

*LI-SJ1