Director, Distribution Risk & Compliance

Sun Life Financial - Waterloo, ON (30+ days ago)

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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:
Role Summary:
Reporting to the VP, Distribution Finance & Operations, the role of Director, Distribution Risk and Compliance is accountable for the management of the overall risk & compliance frameworks and related governance processes for Sun Life Financial Distribution. This role works very closely with the first line dealer oversight team, compliance and the central risk team for retail business, along with the various business areas within Distribution.

The successful candidate will have demonstrated proactive leadership, both directly and through influencing partners, in driving practical solutions when faced with ambiguous issues and programs to resolve. They will have experience assessing risk and ensuring that mitigations are aligned to the risk profile. This role also has a unique opportunity to work closely with Distribution senior management to drive several high profile risk projects to completion.

Main Accountabilities:
Accountable for the Distribution Compliance Governance program which drives various risk and governance projects to completion with a heavy focus on market conduct and other regulatory impacts
Accountable for overall risk management across distribution ensuring that appropriate risk mitigating policies, procedures and/or processes are developed and executed as part of a strong risk culture
Accountable for Market Conduct Policies and Procedures for SLFD, including handling escalations from the field
Accountable for the Compliance Performance Management plan for SLFD mangers and developing compliance in good standing program for advisors and managers
Accountable for the execution or Sun Life risk management programs across Distribution
Accountable to manage the relationship between SLFD and our Errors and Omissions insurance provider
Accountable for lead liaison and partner with internal audit process for Distribution
Accountable to lead and develop a team of 3 senior risk management professionals


Asset: bilingual – given the interaction with managers and advisors across the country
Industry experience in risk management or compliance in the financial services industry
Insurance and Mutual Fund industry experience
Experience in a "3 lines of defence" risk model
Familiarity with Individual Insurance and Wealth products

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

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

Salary Range:
92,000/92 000 - 150,300/150 300

Job Category:

Posting End Date: