Director, Registrations and Licensing

5 months ago

Toronto, 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 will play a critical role for regulatory registrations and licensing programs for Retail Advice and Solutions (RAS).

Specifically, you will be leading a diverse team responsible for the design, build and implementation of the Registration and Licensing (R&L) function for Sun Life Canada Securities Inc. (SLCSI) and will partner closely with the investment dealer operating team and second line partners to ensure that our registration and licensing activities meet regulatory requirements. The role will also contribute to the development and management of the overall compliance, risk and control frameworks and related governance processes for SLCSI.

You will bring a background in wealth and will have in-depth knowledge and a strong understanding of regulatory requirements as they impact business activities registrations (individual and firm), outside activities, and continuous education. You will have designed and implemented programs, policies and procedures and will be responsible for establishing artifacts, systems and controls to meet regulatory obligations.

**What will you do?**
- Investment Dealer Initiative_
- Build out the mandate and business processes for SLCSI’s R&L function.
- Act as the Chief Authorized Firm Representative (ACFR) to oversee the Firm Registration including but not limited to Advisor, Employee, Location Registrations, Reporting and Exemptions liaising with internal and external partners and regulators.
- Establish a working model with SLCSI’s service provider to ensure the running of a compliant and effective R&L function.
- Collaborate with a cross-functional program team to establish SLCSI operating and compliance oversight model for R&L function, including appropriate controls.
- Report on CE Training, Outside Activities, close supervision, issues, and other dealer regulatory obligations.
- Establish effective working relationships with others in SLCSI, Sun Life compliance and risk functions, Distribution teams, and other stakeholders to ensure integration and alignment of plans and strategies.
- Engage with CIRO, as required, representing SLCSI in reporting, exemptive relief requests, registrations, examinations, and other matters pertaining to the compliance of the R&L function.
- Collaborate with the business on regulatory examinations, business conduct reviews, findings and issues responses.

**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.
- Extensive knowledge and understanding of regulatory requirements for investment dealers regulated by the Canadian Investment Regulatory Organization (CIRO) and Ontario Securities Commission.
- Experience with a registration, corporate secretariate or CFO / CIRO reporting function.
- Experience working in an OSFI-regulated environment, with alignment to a three lines of defense model.
- An asset is previous successful completion of the following:

- Canadian Securities Course OR CFA Level 1 (or higher)
- Conduct and Practices Handbook
- Investment Dealer Supervisor Course (formerly Branch Manager's Course)
- An asset is previous experience supporting an R&L function in the insurance context
- Owner’s mindset with ability to design, build and implement solutions.
- 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.
- Strong project and program management skills.
- Excellent communication skills (written and oral) including the ability to influence and negotiate.

**What’s in it for you?**
- Working within a high-performance culture.
- Supportive working environment, culture of collaboration.
- Talented and diverse workforce; opportunity to launch a rewarding career.
- A company that promotes health, wellness, and work/life balance.
- We encourage our employees to champi

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