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About the role
- Assistant Branch Manager overseeing compliance activities for Sun Life's retail distribution channel. Conducting training and reviews to ensure adherence to regulatory expectations.
Responsibilities
- The Assistant Branch Manager (ABM) serves as a key figure in Sun Life’s face-to-face retail distribution channel
- 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
- Support compliance training in the districts and ensure training completion by advisors
- Conduct regular business practice reviews with advisors in the districts to ensure ongoing adherence to Sun Life policies and regulatory expectations
- Act as the primary point of contact for advisors’ compliance inquiries and issues
- Lead regular and proactive check-ins and reporting to DMs to ensure that the DMs have visibility and awareness of the compliance health within their districts
Requirements
- 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
- 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.
Benefits
- A friendly, collaborative and inclusive culture
- Flexible work arrangements
- Professional development opportunities
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