Assistant Branch Manager

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.

The Assistant Branch Manager (ABM) serves as a key figure in Sun Life’s face-to-face retail distribution channel, shaping and upholding s strong culture of compliance across Sun Life’s districts. Reporting directly to the Regional Vice President (RVP), this role supports the District Managers (DMs) in executing branch manager supervision activities for our mutual funds dealer and Sun Life Financial Investment Services (Canada) Inc. (FISI). This includes overseeing the conduct and business practices of advisors and implementing and upholding best practices in the Districts for regulatory compliance and FISI’s policies. In addition, the ABM will support Sun Life to meet its oversight accountabilities as it relates to needs based selling practices and post-sale service in the context of insurance distribution.

The ABM plays a critical role in fostering a culture of compliance and accountability and maintaining the highest standards of professionalism across the organization. This position demands a proactive and client-centric approach to regulatory compliance, requiring collaboration with various teams and leadership levels.

**What will you do?**
- ** Oversight and Supervision**: Execute key branch manager oversight and supervision activities for FISI, including premises reviews, outside activities, query resolution and close supervision. Support DMs in new registrant supervision activities.
- ** Compliance Training and Coaching**: Lead and/or support compliance training in the districts and ensure training completion by advisors. Work with the Compliance Best Practices Consultants (CBPCs) to identify key areas of training and coaching opportunities based on results from various oversight programs.
- ** Support Head Office Programs**: Partner and collaborate with the CBPCs in launching and then training/coaching to new policy, process and regulatory changes and initiatives in the mutual fund or insurance space. Be the primary point of contact for the districts for the district regulatory review program, which includes preparing the advisors and the DMs for the review, completing the review and closing out any post-review findings through a robust action planning process.
- ** Advisor Practice Review**: Conduct regular business practice reviews with advisors in the districts to ensure ongoing adherence to Sun Life policies and regulatory expectations, with specific focus on KYC and KYP obligations as well as needs based selling practices.
- ** Escalation and Interactions**:Act as the primary point of contact for advisors’ compliance inquiries and issues and escalate appropriately to DMs and/or Compliance. Lead regular and proactive check-ins and reporting to DMs to ensure that the DM has visibility and awareness of the compliance health of their district.

**What do you need to succeed?**
- University degree with minimum of 7 years of related experience in the financial services industry
- Minimum of 4 years of experience in the wealth management industry
- Demonstrated expertise in regulatory requirements and compliance standards related to the retail distribution of mutual funds and other investment products and insurance products
- Excellent relationship building, influencing and communication skills
- Proven ability to coach and motivate to promote best practices and consistency
- Strong analytical, organizational, and problem-solving skills
- Ability to work independently as well as in a team and manage multiple priorities and timelines
- Ability to work effectively in a fast-paced, complex and evolving environment
- Proactive and self-motivated to prioritize responsibilities and complete deliverables within given deadlines
- Experience with Salesforce, Univeris, and various Investment Dealer systems is an asset
- Travel will be required

**What will be nice to have**:

- Branch Manager designation by completing any one of the following: Branch Managers Course Exam or Mutual Fund Branch Managers’ Examination Course or Branch Compliance Officers Course Exam
- LOMA or LLQP designation, or obtained within first 6 month of hire
- Additional proficiencies and courses, including CSC, CPH, considered an asset
- Additional designations such as CFP, CLU considered an asset

**What’s in it for you?**
- We’re proud to be a Best Workplace for Hybrid Work by Great Place to Work® Canada
- Be part of our continuous improvement journey in de