Assistant Branch Manager (Compliance)

You are as unique as your background experience and point of view. Here youll be encouraged empowered and challenged to be your best self. Youll 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 youll 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:

The Assistant Branch Manager (ABM) serves as a key figure in Sun Lifes face-to-face retail distribution channel shaping and upholding a strong culture of compliance across Sun Lifes districts. This role reports dually to the Regional Vice President (RVP) and the Head of Oversight Programs and supports the District Managers (DMs) within the respective region in executing branch manager supervision activities in a delegated capacity for our mutual fund dealer Sun Life Financial Investment Services (Canada) Inc. (FISI). This includes overseeing the conduct and business practices of advisors and supporting advisors in meeting their regulatory obligations and FISI policies.

The ABM plays a critical role in fostering a culture of compliance and accountability and maintaining the highest standards of professionalism within their district. This position demands a proactive and advisor-centric approach to compliance and requires a passion for meeting client needs and goals.

What will you do
Oversight and Supervision:

• Execute key branch manager oversight and supervision activities for FISI in a delegated capacity including premise reviews review approval and monitoring of outside activities query resolution and supporting with new registrant supervision activities.

Compliance Training and Coaching:

• Support compliance training in the districts and ensure training completion by advisors. Work with the Compliance Best Practices Consultants (CBPCs) and other head office stakeholders to identify key areas of training and coaching opportunities based on results from various oversight programs.

Support Head Office Programs:

• Partner and collaborate with internal partners including Business Governance & Controls (BG&C) in launching and then training/coaching to new policies processes and regulatory changes and initiatives in the mutual fund or insurance space.

• Be the primary point of contact for the districts for the district regulatory review program which includes preparing completing the review and closing out any post-review findings.

Advisor Practice Review:

• Conduct regular business practice reviews with advisors in the districts to ensure ongoing adherence to Sun Life policies and regulatory expectations with specific focus on KYC and KYP obligations as well as needs based selling practice.

Escalation and Interactions:

• Act as the primary point of contact for advisors compliance inquiries and issues and escalate appropriately to DMs Tier 1 Supervision and/or Compliance.

• Lead regular and proactive check-ins and reporting to DMs to ensure that the DMs as the designated Branch Managers for FISI have visibility and awareness of the compliance health within their districts.

What do you need to succeed

• Branch Manager designation by completing any one of the following: Branch Managers Course Exam or Mutual Fund Branch Managers Examination Course or Branch Compliance Officers Course Exam

• Registered as a branch manager within the last 3 years

• LOMA or LLQP designation or obtained within first 6 months of hire

• University degree with minimum of 7 years of related experience in the financial services industry

• Minimum of 4 years of experience in the wealth management industry

• Demonstrated expertise in regulatory requirements and compliance standards related to the retail distribution of mutual funds and other investment products and insurance products

• Additional proficiencies and courses including CSC CPH considered an asset

• Additional designations such as CFP CLU considered an asset

• Experience with Salesforce Univeris and various Mutual Fund Dealer systems considered an asset

Preferred skills:

• Proactive and self-motivated to prioritize responsibilities and complete deliverables within given deadlines

• Excellent relationship building influencing and communication skills

• Excellent organizational skills

• Proven ability to coach and motivate to promote best practices and consistency

• Strong analytical and problem-solving skills

• Ability to work independently as well as in a team

• Ability to work effectively in a fast-paced complex and evolving environment

• Demonstrated ability to apply critical thinking skills and strong judgement to processes escalations and issue resolution

• Bilingualism (French/English is an asset)

Notes:

• Travel may be required

#LI-Hybrid

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 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 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! Several work options are available and can be discussed throughout the selection process depending on the role requirements and individual needs.

We may use artificial intelligence to support candidate sourcing screening interview scheduling.

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

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