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About the Role
The Business Governance & Controls (BG&C) team provides first-line oversight within the Canadian Retail Advice and Solutions (RAS) business. This role supports advisors and field leaders in maintaining compliant business practices and meeting regulatory expectations while prioritizing client interests and experience.
Responsibilities
- Lead, mentor, and develop the analyst team, fostering a collaborative, high-performance culture focused on operational excellence and continuous improvement.
- Develop annual review plans and schedules.
- Support the planning and coordination of branch oversight reviews for all Registered locations.
- Conduct and review risk-based testing to identify trends and training opportunities.
- Conduct and approve planning, scoping, and sampling activities within Resolver.
- Assist in evaluating oversight procedures and testing programs, performing gap analysis to support continuous improvement, standardization, and operational excellence.
- Identify, communicate, and escalate issues as appropriate, ensuring timely completion of corrective action plans.
- Track and report on identified issues and their remediation status.
- Review Branch Oversight program outcomes for trends and opportunities to improve risk management and program effectiveness.
- Manage concurrent projects and initiatives, collaborating with stakeholders while balancing competing priorities and timelines.
Requirements
- High degree of integrity and ethics; good judgment.
- Excellent communication skills, with comfort presenting to large groups and diverse audiences, including senior leadership, internal examination teams, advisors, and external regulators.
- Work consistently with initiative, urgency, and purpose.
- Ability to take ownership and work independently.
- Strong analytical, organizational, and problem-solving skills.
- Excellent knowledge of risks, controls, and testing methodology.
- University degree and 5+ years of progressive experience within the financial services sector with wealth products; at least 2 years relevant experience working for an investment or a mutual fund dealer.
- Experience working in an OSFI-regulated environment, aligned with the three lines of defense model.
- Knowledgeable on CIRO and CSA regulatory requirements.
- Ability to translate legislation and regulations into business impacts, compliance elements, and regulatory risks.
- Must be able to be registered with a securities dealer upon hire.
- Working knowledge of Investment dealer products and UMIR regulations.
- Bilingualism (French, English, both oral and written) is required for Quebec only.
Skills
- Integrity
- Ethics
- Judgment
- Communication
- Presentation
- Initiative
- Urgency
- Purpose-driven
- Ownership
- Independence
- Analytical skills
- Organizational skills
- Problem-solving skills
- Risk management
- Controls
- Testing methodology
- Financial services sector experience
- Wealth products knowledge
- Investment/mutual fund dealer experience
- OSFI-regulated environment experience
- Three lines of defense model understanding
- CIRO regulatory knowledge
- CSA regulatory knowledge
- Legislation and regulation translation
- Investment dealer products knowledge
- UMIR regulations knowledge
- Bilingualism (French/English)
Location
- Quebec
Work Type
- Hybrid
Experience Level
- 5+ years of progressive experience within the financial services sector with wealth products
- At least 2 years relevant experience working for an investment or a mutual fund dealer
Education Level
- University degree
- A recognized professional financial designation (e.g. CIM, CFA, CAMs, CPA/CA, etc.) is an asset
Salary/Compensations
- 80,000 - 128,000
Benefits
- Friendly, collaborative and inclusive culture
- Collaborative and interactive team environment
- Opportunity to be part of developing the next greatest digital experience
- Working together, sharing common values and encouraging growth & achievement
- Reputable organization with over 150 years of history
- Certified Great Place to Work in Canada in 2026
About the Company
- Sun Life is driven by its Purpose: helping Clients achieve lifetime financial security and live healthier lives.
- Values: caring, authentic, bold, inspiring, and impactful.
- Sun Life is a group of people united by our Purpose: to help Clients and Employees achieve lifetime financial security and live healthier lives.
- Sun Life has over 150 years of history.
Equal Opportunity
- 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 thebrightside@sunlife.com.