Field Supervision Manager

Sun Life; Waterloo; Hybrid; CAD 78,000 - 128,000; Full time

Job summary

A leading financial services company is seeking a Field Supervision Manager to oversee compliance operations. This role involves managing a team and ensuring adherence to regulatory requirements. The ideal candidate will demonstrate strong leadership skills, a deep understanding of mutual funds, and the ability to navigate complex issues. This position offers competitive compensation, flexible benefits, and opportunities for career advancement within a diverse and inclusive workplace.

Benefits

Flexible Benefits

Career advancement opportunities

Inclusive and respectful work environment

Qualifications

• 5 years of relevant experience in financial services.
• Strong understanding of mutual fund dealers' regulatory requirements.
• Ability to manage multiple initiatives and strong interpersonal skills.

Responsibilities

• Oversee Tier 2 mutual fund monitoring and manage a team of Compliance Analysts.
• Ensure compliance with regulatory requirements and company policies.
• Prepare and present reports to senior management.

Skills

Leadership

Analytical skills

Problem-solving

Communication

Detail-oriented

Education

Post-secondary education in a related field

Tools

Compliance software

Microsoft Office Suite

Job description

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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:

Canada Compliance is hiring a Field Supervision Manager. Reporting to the Field Supervision Director, this role involves overseeing Tier 2 mutual fund monitoring and surveillance, managing a team of over5 Compliance Analysts, ensuring regulatory and policy compliance, and providing guidance on complex issues.

What will you do?

• Ensure compliance with regulatory requirements and company policies
• Supervise the daily operations of the Tier 2 team
• Conduct regular reviews of the team's activities, providing necessary coaching, guidance, and support
• Develop and establish policies and procedures for Tier 2
• Offer training and assistance to staff, addressing and resolving complex compliance matters
• Communicate with regulatory bodies and internal stakeholders
• Manage the Tier 2 team, including hiring, training, and performance evaluations
• Monitor transactions to ensure regulatory compliance, investigating and resolving breaches
• Prepare and present reports to senior management
• Stay updated on regulatory changes and industry best practices
• Collaborate with other departments for comprehensive compliance coverage
• Develop and maintain relationships with regulatory bodies
  
  

What do you need to succeed?

The incumbent must be able to manage time effectively on multiple concurrent initiatives and cultivate strong working relationships with peers and senior management. In addition to demonstrating a genuine passion for working in teams and delivering first-class service, the incumbent must possess the following to be successful in this role.

• 5 years of relevant experience in financial services
• Post-secondary education in a related field
• Strong understanding of regulatory requirements for mutual fund dealers
• Excellent leadership and management abilities
• Ability to analyze complex compliance issues and provide effective solutions
• Strong communication and interpersonal skills
• Detail-oriented with strong organizational capabilities
• Ability to work under pressure and meet deadlines
• Proficiency in compliance software and tools
• In-depth knowledge of mutual fund regulations
• Experience in compliance and supervisory roles
• Strong analytical and problem-solving skills
• Effective presentation skills
• Ability to lead and motivate a team
• Proficiency in Microsoft Office Suite
  
  

Assets:

• Completion of industry education (e.g. CFP, PFP, LOMA (AIRC), IFIC (ODP, BM), CSI (CSC, PDO, BCO), or equivalent)
• Experience working with financial advisors
• Project management skills
• Financial Management and Reporting Experience
• Occasional travel may be required (less than 10%)
  
  

What's in it for you?

• The opportunity to move along a variety of career paths with amazing networking potential
• Flexible Benefits from the day you join to meet the needs of you and your family
• We’re committed to creating an inclusive and respectful environment. Our goal is to make sure all our employees have the chance to live up to their full potential
• We are thrilled to be recognized by Excellence Canada with their top-level certification, the Canada Order of Excellence for Mental Health at Work, for prioritizing employee well-being, fostering a positive work culture, and achieving excellence in mental health
  
  

The Base Pay range is for the primary location for which the job is posted. It may vary depending on the work location of the successful candidate or other factors. In addition to Base Pay, eligible Sun Life employees participate in various incentive plans, payment under which is discretionary and subject to individual and company performance. Certain sales focused roles have sales incentive plans based on individual or group sales results.

Diversity and inclusion have always been at the core of our values at Sun Life. A diverse workforce with wide perspectives and creative ideas benefits our Clients, the communities where we operate and all of us as colleagues. We welcome applications from qualified individuals from all backgrounds.

Persons with disabilities who need accommodation in the application process, or those needing job postings in an alternative format, may e-mail a request to [e-mail].

We are proud to be a hybrid organization that offers our employees the choice and flexibility to work from both the office and virtually based on the needs of the business, our Clients and you! Several work options are available and can be discussed throughout the selection process depending on the role requirements and individual needs.

We thank all applicants for showing an interest in this position. Only those selected for an interview will be contacted.

Salary Range:

78,000/78 000 - 128,000/128 000

Job Category:

Compliance

Posting End Date:

28/06/2025

Seniority level

• Seniority level

  Not Applicable

Employment type

• Employment type

  Full-time

Job function

• Job function

  Management and Manufacturing

• Industries

  Financial Services and Insurance

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