Director of Registrations & Licensing at Sun Life, leading regulatory compliance and digital innovation in wealth and insurance businesses. Driving strategic transformation with a high-performing team.
Responsibilities
Lead regulatory compliance and digital innovation at a pivotal moment
Refresh the mandate and strategy for the R&L function, aligning with business roadmaps to accelerate advisor onboarding and minimize operational risk
Serve as Chief Authorized Firm Representative (ACFR), overseeing all firm registration processes, regulatory reporting, and regulatory engagements across investment and mutual fund dealer operations and insurance
Champion the modernization of the R&L function through technology and process innovation, enhancing advisor experience and operational efficiency
Build strong cross-functional partnerships with Compliance, Operations, Distribution, and regulators to ensure seamless integration and strategic alignment
Lead, develop, and empower a diverse team through change, fostering a culture of performance, inclusion, and innovation
Oversee advisor registrations, employee certifications, Continuing Education training, outside activities reporting, and all CIRO-registered dealer obligations
Requirements
Minimum 10 years in financial services with at least 5 years in wealth management
Proven track record leading teams through complex organizational change
Deep expertise in CIRO and OSC regulatory requirements for investment dealers
Prior experience in registration, corporate secretariate, or CIRO reporting functions (insurance licensing a plus)
Familiarity with OSFI-regulated environments and three lines of defense governance models
Owner's mindset: You design, build, and implement solutions end-to-end
People leader: You attract, develop, and retain top talent while fostering inclusive, high-performing teams
Strategic thinker: You navigate complex matrixed organizations with organizational savvy and cross-functional influence
Adaptable: You thrive in ambiguity and lead teams through meaningful transformation
Strong communication skills with the ability to influence senior stakeholders
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