Director, Regulatory Programs and Initiatives

3 weeks ago

Waterloo, Canada Sun Life Full time

You are as unique as your background, experience and point of view. Here, you’ll be encouraged, empowered and challenged to be your best self. You'll 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, you'll 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.

Reporting to the Assistant Vice President of Governance Operations & Transformation, Business Governance & Control, this role focuses on building oversight standards and programs for Retail Advice and Solutions (RA&S).

Specifically, you will be leading a diverse team responsible for the design, build and implementation of oversight programs for Sun Life Canada Securities Inc. and will partner closely with the investment dealer operating team and second line partners to ensure that our oversight and supervision programs meet regulatory requirements and expectations. You will also play a key role in supporting change within the organization as the Canadian Investment Regulatory Organization (CIRO) evolves its rules and requirements.

You will bring a background in wealth 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 such as sales, marketing and operations. You will have designed and implemented oversight programs and will be responsible for researching, designing and implementing programs that meet regulatory expectations in an advisor-friendly and client-centric way.

**What will you do?**
- Collaborate with a cross-functional program team to establish SLCSI operating and compliance oversight model.
- Lead a team to develop, implement and enhance a compliance ecosystem with scaled programs, standards and processes for Sun Life’s new investment dealer business including the establishment of the Tier One oversight team and processes, the Registration and Licensing function, and other regulatory programs and processes.
- Support the creation of required regulatory artifacts for SLCSI business governance and controls, such as supervision manuals, regulatory control libraries, and policies and procedures.
- Establish effective working relationships with others in the Investment Dealer, Sun Life compliance and regulatory groups, Professional Services, Distribution teams, and other stakeholders to ensure integration and alignment of plans and strategies.
- Be the Authorized Chief Representative (ACR) for SLCSI registration and licensing, liaising with external and internal partners.
- Manage the CIRO Rule Book consolidation efforts acting as Project Lead and SME considering implications and design solutions for both the mutual fund and securities lines of business.
- Lead projects related to regulatory change and stay up to date with industry changes and evolving regulatory expectations, understanding the business implications and opportunities of regulatory change.
- Support projects and initiatives to ensure effective controls and oversight are put in place.
- Enhance and scale programs to support the growing and evolving Sun Life Canada Securities Inc. business.
- Identify opportunities for wealth program alignment or consolidation across dealers, leading redesign and implementation.

**What you need to Succeed?**
- University degree with a minimum of 10 years of related experience in the financial services industry with a minimum of 5 years of wealth experience.
- Securities Dealer experience (IIROC)
- Extensive knowledge and understanding of regulatory requirements for investment dealers regulated by the Canadian Investment Regulatory Organization (CIRO) and Ontario Securities Commission.
- Experience working in an OSFI-regulated environment, with alignment to a three lines of defense model.
- Experience designing, building and implementing processes. Strong project and program management skills.
- People leadership experience, with demonstrated ability lead a high-performing team and to identify, manage and grow talent.
- Foster a culture of performance, inclusion and recognition to lead a team delivering innovative solutions and programs.
- An understanding of how people go through change, with prior experience leading a team through change; comfortable with ambiguity.
- Organizational savvy and ability to navigate cross-functionally within a complex matrixed organization.
- Excellent communication skills (written and oral) including the ability to influence and negotiate.

**Assets**

Previous successful completion of the following:

- Canadian Securities Course OR CFA Level 1 (or higher)
- Conduct and Practices Handbook
- Investment Dealer Supervisor Course (for

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