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Compliance Manager, Third Party Distribution

Sun Life Financial

This is a Contract 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 partner with others to instill a strong compliance culture with a focus on fair treatment of clients.
About the Role:
The Third Party Distribution Compliance Manager is responsible for analysis and monitoring of distribution partners’ (e.g. Managing General Agencies and National Account firms) market conduct and compliance regimes across Canada.

  • Pre-contract due diligence and on-going Market Conduct Reviews of distribution partners to assess their compliance regimes in place to carry out their responsibilities for the distribution of life, health, and wealth products
  • Consultation with Contracting & Licensing on third party firm and advisor contracting inquiries
  • Daily review of the Compliance In-box (Qualbus) to respond to inquiries
  • Follow up on outstanding market conduct review findings
  • Compliance presentations and consulting for distribution partners
  • Quarterly Reporting on the results of the third party distribution compliance program
  • Build and maintain relationships/partnerships with Sun Life third party distribution teams and third party firms’ Compliance Officers


  • 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:

  • Exceptional interpersonal and communication skills and ability to negotiate at all levels of the organization
  • Excellent presentation skills
  • Strong organizational skills
  • High degree of integrity and ethics
  • Frequent travel across Canada
  • Valid Driver’s license
  • Bilingualism -English and French (written and spoken) an asset