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. Discover how you can make a difference in the lives of individuals, families and communities around the world.
The Corporate Branch
Manager provides first-line oversight of advisor activity, registered individuals, and business locations to ensure compliance with regulatory requirements and internal policies. This role supports effective supervision, risk management, and advisor compliance practices while helping the business meet evolving regulatory expectations and maintain a strong client-focused culture. Excellent communication skills, with comfort presenting to large groups as well as different audiences, including senior leadership, internal examination teams, advisors and external regulators Ability to travel to business locations (up to 10%-15%) French and English bilingualism is an asset (not a requirement) Extensive knowledge and understanding of regulatory requirements for investment dealers regulated by CIRO (formerly IIROC and MFDA) and the Canadian Securities Administrators (CSA) Mutual Fund Dealer Branch Manager proficiency which includes 2 years’ experience in a registered capacity and completion of any one of the following: Branch Manager’s Course Exam (CSI) Mutual Fund Branch Manager’s Examination Course Exam (IFSE) CFA Overall supervisory responsibility for an assigned group of SLFISI registered individuals and their branch/sub-branch office locations which includes:
Managing conflicts of interests Ongoing compliance related education and training of advisors Occasional visits to business locations as part of ensuring overall compliance and effective supervision of registered individuals Approval of new accounts, material KYC updates and T+1 trade reviews.
Support the resolution of inquiries from the various Compliance teams (Regulatory Inquiries, Investigations, Field Supervision, DRR); Support internal audits and regulatory examinations. Maintaining log of client complaints to ensure regulatory complaints are appropriately escalated and. Manage, address and/or elevate various first line supervision risk and compliance in a timely manner.
Subject matter expert, knowing regulatory and industry updates to appropriately support internal partners, advisors and field leaders. Support the mutual fund dealer initiatives and strategies by providing subject matter expertise to ensure effective and effective controls and oversight programs are put in place and/or are enhanced. 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.
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. 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
[email protected] are proud to be a hybrid organization that offers our employees the choice and flexibility to work from both the office and virtually based on the needs of the business, our Clients and you!
We may use artificial intelligence to support candidate sourcing, screening, interview scheduling.
Business
Analysis - Process
📌 Responsable secteur - Urgent (Kitchener)
🏢 Sun Life
📍 Kitchener