Director, Regulatory Programs and Initiatives

6 months 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

  • Director, Wealth Oversight Programs

    7 months 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...

  • Associate Director, Strategic Initiatives

    6 months ago

    Waterloo, Canada University of Waterloo Full time

    Overview: Accountable to the Director, Strategic Initiatives, this position is responsible for strategic initiatives within the purview of the Provost. The Associate Director is positioned to lead large scale initiatives related to the Provost’s work, ranging from ongoing activity, such as at Deans’ Council to University-wide transformational projects...

  • Director of Program

    7 months ago

    Waterloo, Canada Strong Start Charitable Organization Full time

    Are you passionate about igniting young minds and fostering early literacy? Strong Start® Charitable Organization is seeking a Director of Program to join our team and make a difference in young lives. Our charitable organization is committed to empowering children with the fundamental skill of reading, unlocking doors to a brighter future. **As the...

  • Associate Director, Manager Regulatory Affairs Compliance

    2 months ago

    Waterloo, Canada Waystone Governance Ltd. Full time

    p>For over 20 years, Waystone has been at the cutting edge of specialist services for the asset management industry - partnering with institutional investors, investment funds and asset managers. We work with our clients to help build, support, and protect investment structures and strategies worldwide. Our success depends upon our ability to attract and...

  • Manager, Regulatory Compliance Management, Global

    2 months 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...

  • Laboratory Director

    2 weeks ago

    Waterloo, Canada Generation Fertility Waterloo Full time

    Company DescriptionGeneration Fertility Waterloo, formerly KARMA IVF, is a full-service IVF clinic located in Waterloo, ON. Our state-of-the-art facility offers services such as cycle monitoring, ultrasound, semen analysis, IVF, ICSI, PGT, and Fertility Preservation. We prioritize inclusive care and collaboration among our staff to provide the best patient...

  • Associate Director Policy

    8 months ago

    Waterloo, Canada University of Waterloo Full time

    Overview: The Associate Director supports the Senior Director in their strategic vision and leadership through the implementation of strategic initiatives, policy development, project planning and implementation for the Office of Equity, Diversity, Inclusion and Anti-Racism (EDI-R). **Responsibilities**: - Strategic Initiatives, Policy Development, Project...

  • Regulatory Affairs Specialist

    3 days ago

    Waterloo, Canada Northern Digital Inc. Full time

    At NDI, our mission is built around using our measurement technologies to improve medical procedures and patients’ lives. This requires product innovation that is achieved through fostering collaboration, trust, and strong relationships. At NDI, you will work with talented people who are ready and willing to push their limits in an environment where...

  • Laboratory Director

    2 weeks ago

    Waterloo, Canada Generation Fertility Waterloo Full time

    Company Description Generation Fertility Waterloo, formerly KARMA IVF, is a full-service IVF clinic located in Waterloo, ON. Our state-of-the-art facility offers services such as cycle monitoring, ultrasound, semen analysis, IVF, ICSI, PGT, and Fertility Preservation. We prioritize inclusive care and collaboration among our staff to provide the best patient...

  • Laboratory Director

    2 weeks ago

    Waterloo, Canada Generation Fertility Waterloo Full time

    Company DescriptionGeneration Fertility Waterloo, formerly KARMA IVF, is a full-service IVF clinic located in Waterloo, ON. Our state-of-the-art facility offers services such as cycle monitoring, ultrasound, semen analysis, IVF, ICSI, PGT, and Fertility Preservation. We prioritize inclusive care and collaboration among our staff to provide the best patient...

  • Director, Operational Risk, Enterprise Asset

    3 months 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...

  • Director, Expense Management and Initiatives

    6 months 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...

  • Program Officer, Health Technologies

    7 months ago

    Waterloo, Canada University of Waterloo Full time

    Overview: **Term: 3 years.** Velocity supports approximately 46 health technology companies that engage in entrepreneurship programming offered by Velocity and its collaboration network across Ontario and Canada (collectively known as Velocity Health Platform). Programs offered under the Velocity Health Platform support the entrepreneurial learning and...

  • Manager, Regulatory Change and Testing, Risk Coe

    7 months 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...

  • Director, Learning and Education

    6 months ago

    Waterloo, Canada CarePartners Full time

    Who We Are: CarePartners is one of Ontario’s largest accredited home health care providers, providing nursing, personal support, therapy and rehabilitation support services for patients of all ages. We care for approximately 72,000 patients each year in homes, schools, clinics, workplaces and retirement homes, through our 24 locations and 22 nursing...

  • Corporate Data Management Director

    2 months ago

    Waterloo, Canada Open Text Corporation Full time

    b>Hiring Manager: Elena Dana Calugaru Talent Acquisition Advisor: Gaurav Sehgal Job Code Level: GHM4 YOUR IMPACT The Sr. Director, Physical Security & Risk Programs is responsible for shaping and executing the strategic direction of OpenText’s physical security program and associated risk management initiatives. This pivotal role calls for a highly...

  • Director, Third-party Distribution Risk Management

    4 months ago

    Waterloo, Canada Manulife Full time

    **The Opportunity** Reporting to the Global Head of Market Conduct Compliance Insurance, this individual is responsible for overseeing all aspects of Manulife’s Third-Party Distribution Risk Management program, globally. Working closely with the Asia AVP Distribution Compliance and the North American Director, Market Conduct Compliance, the incumbent...

  • Training Programs Specialist

    3 days ago

    Waterloo, Canada University of Waterloo Full time

    Overview: **Term: 3 years.** The University of Waterloo is home to one of Canada’s largest concentrations of interdisciplinary climate change experts and a broad range of climate-focused degree programs and courses at undergraduate and graduate levels, including the first-in-Canada Masters of Climate Change program. Responding to growing demand both in...

  • Project Manager, Strategic Initiatives

    7 months ago

    Waterloo, Canada University of Waterloo Full time

    Overview: **Term: 2 years.** The Project Manager, Strategic Initiatives and Continuous Improvement is responsible for driving the continuous improvement culture in the department. They will act as a project manager on continuous improvement related projects, be responsible for relationship building within the department to catalyze key improvement projects,...

  • Restaurant Operations Director

    6 days ago

    Waterloo, Ontario, Canada Aunty's Kitchen Full time

    About Aunty's KitchenAunty's Kitchen is a dynamic restaurant chain that seeks to deliver exceptional dining experiences. Our team is dedicated to excellence, and we're looking for a skilled professional to join our leadership team.Job SummaryWe're seeking a seasoned Restaurant Operations Director to oversee the strategic direction and day-to-day operations...