SLCSI Bilingual Account Opening Branch Manager

Job Description

The Manager, Account Opening Management role contributes to the overall Account Opening and Maintenance activities on behalf of the Sun Life Canada Securities Inc. (SLCSI) business. We are looking for a highly motivated candidate who can build solid relationships, has a passion for providing high quality customer service, delivers impeccable accuracy, and is eager to expand their career in Operations. The incumbent will have an in-depth knowledge working within CIRO regulations and requirements and of CIRO’s Investment Dealer Partially Consolidated Rules. You will partner closely with the Business Governance & Controls function (BG&C) and second line partners to ensure that our account opening process meets regulatory requirements and expectations.

You will be registered with CIRO as a ‘Supervisor of Registered Representatives or Investment Representatives’ and will have in-depth knowledge and experience in a broad range of products and services offered by investment dealers, with a strong understanding of regulatory requirements as they impact business activities, including regulatory and industry trends. You will be bilingual in French and English with the ability to execute your role in both French and English.

The incumbent will be responsible to :

Implement the Retail Wealth Management Operations, Account Opening and Maintenance program covering Sun Life Canada Securities Inc. (SLCSI).

Function as a key point of contact and subject matter expert on Account Opening and Maintenance related inquiries and requests from employees and Branches (including advisors, Branch Managers, and support staff, etc.)

Foster a culture of compliance throughout the business and organization by promoting ethical behavior, accountability, and adherence to regulatory standards.

Liaise regularly with the other members of the Canadian SLCSI Operations Team.

Provide training to new Operations and other staff members.

Continually evaluate the effectiveness of departmental procedures and participate in developing, maintaining, and implementing changes to the policies and procedures.

New account approvals and account updates;

Non-managed and managed accounts;

Participating in internal as well as external regulatory audits;

Supporting Investment Advisors and Portfolio Manager with Account Opening and Maintenance inquiries.

Providing ongoing Operations, Account Opening and Maintenance education and training for registered personnel;

Knowledge of Tax and CRA forms and requirements, Anti-Money Laundering applicable rules and regulations, Government Policies, etc.

Special projects as requested.

Qualifications :

Bilingualism (French, English, both oral and written) is required for the frequent interactions with English and French-speaking colleagues or internal partners across Canada and worldwide.

Successful completion of all of the following :

Canadian Securities Course OR CFA Level 1 (or higher)

Conduct and Practices Handbook

Investment Dealer Supervisor Course (formerly Branch Manager's Course)Strong understanding of CIRO regulations and compliance requirements.

Minimum 5 years securities industry experience, with minimum 5 years’ experience as a Branch Manager or Compliance Officer with an CIRO firm focused on account opening and account maintenance with an extensive understanding of approval and regulatory requirements.

Strong leadership, communication, and interpersonal skills.

In depth knowledge of investment products and financial markets.

Passion for client servicing and building strong relationships.

Monitoring Account Opening and Maintenance, with all rules, regulations and laws.

Implementing the firm’s policies and procedures

Experience with a securities commission or self-regulatory organization would be an asset

An undergraduate degree

Extensive knowledge of MS Office applications including as Word, Excel, Power Point and Outlook

Ability to work independently and under pressure

Strong conflict resolution, organizational, and communication skills

What's in it for you?

Hybrid work environment.

Being a member of the Sun Life family, a group of people united by our Purpose : to help Clients and Employees achieve lifetime financial security and live healthier lives.

Flexible Benefits from the day you join to meet the needs of you and your family.

A friendly, collaborative, and inclusive culture.

The opportunity to move along a variety of career paths with amazing networking potential.

An environment of continuous learning and improvement.

Access to our Global Learning Centre, available 24 / 7 for your learning needs.

Wellness programs that support the three pillars of your health – mental, physical and financial.

Work-life balance by scheduling your day around your priorities and having more time to spend on the important things.

We are honoured to be recognized as a 2023 Best Workplaces in Canada by Great Place to Work® Canada