Sun Life Financial

Across Canada
This job is no longer available.

Technical Compliance Analyst

May 06, 2017
Waterloo, Ontario
Entry Level, Early Career

Technical Compliance Analyst:

Reporting to the Mutual Fund Compliance Manager, the Technical Compliance Analyst is responsible for reviewing large quantities of data to help generate value for a variety of compliance functions, develop enhanced personalized reporting, produce innovative and effective methods of analyzing data using a variety of mathematical models, performing ongoing and periodic analysis of SLFISI's block of business, and testing and reporting related to the market conduct audits of sales activities in all the distribution channels.

Main Accountabilities:

  • Analyze large quantities of data and help create value for a variety of compliance functions
  • Produce, maintain and enhance various Microsoft Office based tools used by compliance
  • Testing and documentation of the various tools and processes used in compliance
  • Prepare / compile ongoing compliance trend reporting as required, daily, weekly and monthly
  • Conduct ad hoc audits of advisor blocks of business analysis using a variety of descriptive and predictive statistical methods
  • Participates in projects, as needed
  • Perform various investigative and analytical functions


  • University degree in a mathematical field or equivalent experience
  • Strong research, problem solving and analytical skills
  • Proven experience with VBA, SQL as well as advanced Excel and Access functions
  • Excellent communications skills to provide simplified explanations of complex analytical methodologies
  • Strong Mutual Fund and Insurance product knowledge
  • Keen aptitude for learning new programs and programming languages quickly
  • Ability to work independently and as a member of a team
  • Experience balancing multiple projects


  • Completion of IFIC Canadian Investment Funds, IFIC Labour Sponsored Investment Funds Course or Canadian Securities Course
  • Successful completion of the IFIC Branch Managers' Examination
  • Auditing background
  • Experience working with advisors and/or Career Sales Force
  • Experience working with Mutual Fund Dealer Operations

Notes/Unique requirements:

  • Some travel may be required
  • Extra hours may be required during the quarter-end reporting periods and during periods with high mutual fund trading volumes
  • Completion of the IFIC Branch Managers' Examination required within 6 months of starting the role

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.