Director, Branch Oversight and Quality Assurance

4 weeks ago

Toronto, Ontario, Canada Financière Sun Life Full time
About the Role

We are seeking a highly skilled and experienced Director, Branch Oversight and Quality Assurance to join our team at Financière Sun Life. As a key member of our organization, you will be responsible for leading and evolving oversight programs for our Mutual Fund Dealer, Sun Life Financial Investment Services Inc. (SLFISI).

Key Responsibilities
  • Develop, execute, and lead review planning-related processes and activities across the DRR program.
  • Identify and support the DRR team in identifying trends, control weaknesses, and other operational opportunities to assess and help shape the overall compliance of the business.
  • Ensure the DRR program reports are consistent and clear, and provide practical and actionable insights to stakeholders.
  • Manage the prioritization of branch reviews, using a risk-based approach to ensure scope and extent of work is completed in accordance with regulatory expectations and enterprise standards.
  • Build and execute a QA program to ensure effectiveness of other first-line oversight programs within BG&C.
  • Lead an advisor- and client-focused, diverse high-performing team and instil and promote a positive and inclusive culture within the team, the function, and our business.
Requirements
  • University degree with a minimum of 10 years of related experience in the financial services industry with a minimum of 5 years of wealth management experience.
  • Successful completion of the Canadian Securities Course; completion of the Conduct and Practices Handbook and Branch Manager Course would be an asset.
  • Previous experience in a large, OSFI-regulated financial institution / matrixed organizational structure, with alignment to a three lines of defense model.
  • Demonstrated record of success in the management and administration of a testing, audit, or supervision program.
  • General knowledge of audit and QA practices and methods and technology.
What We Offer
  • Anchored to our Purpose, our Sustainability Plan has three pillars which represent the areas where we have the greatest opportunity to drive positive impact in society: increasing financial security, fostering healthier lives, and advancing sustainable investing.
  • We're committed to creating an inclusive and respectful environment. Our goal is to make sure all our employees have the chance to live up to their full potential.
  • Opportunities to own your career development with programs to continuously learn, build skills, grow through coaching, and more.

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