SLCSI Bilingual Account Opening Branch Manager

2 weeks ago

Toronto, Ontario, Canada Sun Life Full time
Job Description

The Account Opening and Maintenance Manager role contributes to the overall Account Opening and Maintenance activities on behalf of the Sun Life Canada Securities Inc. (SLCSI) business. We are seeking a highly motivated candidate who can build solid relationships, has a passion for providing high-quality customer service, delivers impeccable accuracy, and is eager to expand their career in Operations.

Key Responsibilities:
  • Implement the Retail Wealth Management Operations, Account Opening and Maintenance program covering Sun Life Canada Securities Inc. (SLCSI).
  • Function as a key point of contact and subject matter expert on Account Opening and Maintenance related inquiries and requests from employees and Branches (including advisors, Branch Managers, and support staff, etc.).
  • Foster a culture of compliance throughout the business and organization by promoting ethical behavior, accountability, and adherence to regulatory standards.
  • Liaise regularly with the other members of the Canadian SLCSI Operations Team.
  • Provide training to new Operations and other staff members.
  • Continually evaluate the effectiveness of departmental procedures and participate in developing, maintaining, and implementing changes to the policies and procedures.
  • New account approvals and account updates.
  • Non-managed and managed accounts.
  • Participating in internal as well as external regulatory audits.
  • Supporting Investment Advisors and Portfolio Manager with Account Opening and Maintenance inquiries.
  • Providing ongoing Operations, Account Opening and Maintenance education and training for registered personnel.
  • Knowledge of Tax and CRA forms and requirements, Anti-Money Laundering applicable rules and regulations, Government Policies, etc.
  • Special projects as requested.
Qualifications:
  • Bilingualism (French, English, both oral and written) is required for the frequent interactions with English and French-speaking colleagues or internal partners across Canada and worldwide.
  • Successful completion of all 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)
  • Strong understanding of CIRO regulations and compliance requirements.
  • Minimum 5 years securities industry experience, with minimum 5 years' experience as a Branch Manager or Compliance Officer with an CIRO firm focused on account opening and account maintenance with an extensive understanding of approval and regulatory requirements.
  • Strong leadership, communication, and interpersonal skills.
  • In-depth knowledge of investment products and financial markets.
  • Passion for client servicing and building strong relationships.
  • Monitoring Account Opening and Maintenance, with all rules, regulations and laws.
  • Implementing the firm's policies and procedures.
  • Experience with a securities commission or self-regulatory organization would be an asset.
  • An undergraduate degree.
  • Extensive knowledge of MS Office applications including as Word, Excel, Power Point and Outlook.
  • Ability to work independently and under pressure.
  • Strong conflict resolution, organizational, and communication skills.
What's in it for you?
  • Hybrid work environment.
  • Being a member of the Sun Life family, a group of people united by our Purpose: to help Clients and Employees achieve lifetime financial security and live healthier lives.
  • Flexible Benefits from the day you join to meet the needs of you and your family.
  • A friendly, collaborative, and inclusive culture.
  • The opportunity to move along a variety of career paths with amazing networking potential.
  • An environment of continuous learning and improvement.
  • Access to our Global Learning Centre, available 24/7 for your learning needs.
  • Wellness programs that support the three pillars of your health – mental, physical and financial.
  • Work-life balance by scheduling your day around your priorities and having more time to spend on the important things.

We are honored to be recognized as a 2023 Best Workplaces in Canada by Great Place to Work Canada

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