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Compliance Audit Analyst


This is a Full-time position in Toronto, ON posted August 31, 2017.

About the business
Canadian Compliance is responsible for the oversight and management of Sun Life Financial Canada’s operational risk from legal and regulatory requirements and sales practices, with the primary focus on issues that could affect the company’s reputation or attract regulatory sanction. An active compliance culture is achieved when business units are able to meet their key business objectives in a customer focused and compliant manner.
Job Description
Using exceptional analysis and research skills, the Compliance Audit Analyst (Branch Examiner) will manage the analysis and testing of market conduct audits related to sales activities within our Client facing sales force. The Compliance Audit Analyst will also assist the Regional Compliance Manager (RCM) in the execution of market conduct audits of the sales force by conducting on-site visits and financial advisor interviews.

  • Assist with execution of Market Conduct Audits, conducting on-site advisor interviews and audits and completing office visits for all registered advisor business addresses
  • Analyze and report on the findings of completed audits
  • Assist with daily review of the compliance in-box (Qualbus) and responding to inquiries
  • Provide on-site training to financial advisors to ensure the sales force is complying with regulatory requirements and processes, and following company policies and practices including adherence to the code of business practice relating to the distribution of life and health insurance, and wealth management products


  • Knowledge and experience within the financial/insurance industry and familiarity with compliance standards and practices related to conducting audits
  • Experience working with life insurance, health insurance and wealth management product lines
  • Advanced computer skills including Microsoft Office products (Power Point, Excel), Lotus Notes, Univeris, eCISS, Customer Service Workbench (CSW), MLIF
  • Knowledge of insurance laws and regulations, and the ability to apply these in practical situations
  • Experience in a Client facing sales force, or extensive knowledge and understanding of sales force activities and responsibilities
  • Exceptional interpersonal, communication and negotiation skills with the ability to collaborate with all levels of colleagues within the organization
  • Required to complete the Branch Managers Course within the first 6 months of employment
  • High degree of confidentiality, integrity and ethics

Preferred Skills/Experience

  • Bilingual proficiency (English and French)
  • Understanding of commission arrangements and payment structure, advisor contracts, and the code of business practice for advisors
  • Understanding of laws and regulations, such as the criminal code, and other aspects of civil and common law
  • Successful completion of IFIC and/or CSC course
  • Successful completion of LLQP course

Unique Requirements

  • Extensive travel across Canada, including travel to remote advisor office locations, the travel requirement could be up to 75%
  • Valid Driver’s license