Compliance Best Practice Consultant (CBPC)

You are as unique as your background, experience and point of view. Here, you’ll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you'll have new and exciting opportunities to make life brighter for our Clients - who are at the heart of everything we do. Discover how you can make a difference in the lives of individuals, families and communities around the world.

Job Description:

A quick overview:

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 the Director, Compliance Best Practices and Initiatives, the Compliance Best Practice Consultant provides communication, training, coaching and change management support to advisors and field leaders to support their ability to meet Sun Life’s regulatory and business requirements in selling investment products, mutual funds, segregated funds, life, and health insurance.

What will you do?

• Identify and continually assess training and communication gaps and opportunities and ensure identified opportunities are built into annual compliance training, coaching and communication programs

• Support the development of advisor-centric compliance-related training programs based on insurance, mutual fund and investment product regulations, business needs and industry standards

• Act as a voice of the advisor to help drive and influence solutions to address pain points with process, tools and resources that impact compliance outcomes

• Deliver coaching and training programs and communications to advisors and field leaders that meet our compliance requirements, business expectations and regulatory changes

• Ensure training, coaching and communication programs remain current and are consistent across the Compliance Best Practices team

• Act as SME and support RA&S’s Learning and Development team in building compliance elements into their training programs

• Collaborate with advisors and field leaders to address daily trade review, branch review and/or audit findings and issues and support field leaders in coaching and/or training to close out findings and issues and improve compliance outcomes

• Interpret and leverage analysis, insights and/or findings from various review/audit programs to develop targeted training for advisors and field leaders within the region

• Provide continuous feedback and coaching to advisors and field leaders to improve their skills and knowledge

• Stay current on industry developments and updates to regulations, and incorporate this knowledge into training materials

What do you need to succeed?

• 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 insurance, mutual fund and investment product regulations (5+ years of experience)

• Excellent relationship building, communication and presentation skills

• Proven ability to coach and motivate to promote best practices and consistency

• 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

• Proactive and self-motivated to prioritize responsibilities and complete deliverables within given deadlines

• Take ownership of assigned tasks and assume accountability of outcomes

• Demonstrated collaborative and interactive style that facilitates discussion within the team

• Ability to apply critical thinking skills to processes, escalations, and issue resolution

• Experience with Salesforce, Univeris, and various Investment Dealer systems is an asset

• Adult training/coaching experience would be an asset

• Travel will be required

Other qualifications :

• Branch Manager’s Designation

• LOMA or LLQP Designation

• Additional proficiencies and courses, including CSC, CPH, considered an asset

• Additional des