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About the Role

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.

Responsibilities

• Provide overall supervisory responsibility for an assigned group of SLFISI registered individuals and their branch/sub-branch office locations.
• Review and approve outside activities.
• Manage conflicts of interest.
• Provide ongoing compliance-related education and training of advisors.
• Conduct occasional visits to business locations to ensure overall compliance and effective supervision of registered individuals.
• Approve new accounts, material KYC updates, and T+1 trade reviews.
• Support the resolution of inquiries from various Compliance teams (Regulatory Inquiries, Investigations, Field Supervision, DRR), along with CIRO and other regulators.
• Support internal audits and regulatory examinations.
• Maintain a log of client complaints to ensure regulatory complaints are appropriately escalated.
• Manage, address, and/or escalate various first-line supervision risk and compliance issues in a timely manner.
• Proactively identify trends and patterns.
• Act as a subject matter expert, staying updated on regulatory and industry changes to support internal partners, advisors, and field leaders.
• Support mutual fund dealer initiatives and strategies by providing subject matter expertise to ensure effective and efficient controls and oversight programs are implemented or enhanced.

Requirements

• University degree and 5+ years of progressive experience within the financial services sector with wealth products.
• At least 2 years of relevant experience working for an investment or a mutual fund dealer.
• Experience working in an OSFI-regulated environment, with alignment to the three lines of defense model.
• Must be currently registered in a supervisory capacity or registered within the past 3 years at the time of hire, with the required current courses to support CIRO registration.
• Mutual Fund Dealer Branch Manager proficiency, which includes 2 years’ experience in a registered capacity and completion of one of the following: Branch Manager’s Course Exam (CSI), Mutual Fund Branch Manager’s Examination Course Exam (IFSE), or Branch Compliance Officers Course Exam (CSI).
• Completion of one of the following courses required to be a Dealing Representative of a Mutual Fund Dealer: Canadian Investment Funds Course Exam, The Canadian Securities Course Exam, or The Investment Funds in Canada Exam.
• Completion of one of the following courses as required to supervise Liquid Alts: The Canadian Securities Course (CSI) or The Derivatives Fundamentals Course Exam (CSI).
• Completion of courses required to be a PM from 3.11 of NI 31-103: CFA, Canadian Investment Manager designation, or a bridge exam: the Investing in Alternative Mutual Funds and Hedge Funds Course (IFSE) or the Alternative Strategies: Hedge Funds & Liquid Alts for Mutual Fund Representatives Course Exam (CSI).

Skills

• High degree of integrity and ethics
• Good judgement
• Excellent communication skills
• Comfort presenting to large groups and different audiences, including senior leadership, internal examination teams, advisors, and external regulators
• Ability to work consistently with initiative, urgency, and purpose
• Ability to take ownership and work independently
• Growth mindset - willing to challenge the status quo and lead change
• Extensive knowledge and understanding of regulatory requirements for investment dealers regulated by CIRO (formerly IIROC and MFDA) and the Canadian Securities Administrators (CSA)

Location

• Canada

Work Type

• Hybrid

Experience Level

• 5+ years of progressive experience within the financial services sector with wealth products
• At least 2 years relevant experience working for an investment or a mutual fund dealer
• At least 2 years’ experience in a registered capacity

Education Level

• University degree

Salary/Compensations

• 80,000 - 128,000

About the Company

• At Sun Life, we're driven by our Purpose: helping our Clients achieve lifetime financial security and live healthier lives.
• Our values shape how we work: caring, authentic, bold, inspiring, and impactful.
• 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.

Equal Opportunity

• 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 thebrightside@sunlife.com.