Account Opening 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.

Job Description:

The Account Opening Branch Manager (AOBM) role contributes to the overall Account Opening and Maintenance activities on behalf of the Sun Life Canada Securities Inc. (SLCSI) business. We are looking for a highly motivated candidate who can build solid relationships, has a passion for providing high quality service, delivers impeccable accuracy, and is eager to expand their career in Business Governance & Controls. The incumbent will have an in-depth knowledge of CIRO’s Investment Dealer Partially Consolidated Rules. You will partner closely with other colleagues within Business Governance & Controls, the Operations team and second line partners to ensure that our account opening process meets regulatory requirements and expectations.

You will be registered with CIRO as a Designated Supervisor of Account Opening. The successful candidate will also 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 and industry trends as they impact business activities. The AOBM must be fully proficient in reading, writing and speaking both French and English, with the ability to execute the role in both languages.

What will you do?

• Review and approval of new accounts and account updates;

• 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.)

• Provide ongoing training on Account Opening procedures to Investment Advisors and other staff members as required.

• Continually evaluate the effectiveness of departmental procedures and participate in developing, maintaining, and implementing changes to the policies and procedures.

• Foster a culture of compliance throughout the business and organization by promoting ethical behavior, accountability, and adherence to regulatory standards.

• Liaise regularly with members of the Business Governance & Controls team and the SLCSI Operations team.

• Knowledge of documentation required to open various account types including non-managed and managed accounts;

• Participating in internal as well as external regulatory audits;

• Knowledge of CIRO, FINTRAC and all other applicable rules and regulations, Government Policies, etc.

• Monitoring of Account Opening procedures and policies and procedures manual against all rules, regulations and laws.

• Special projects as requested.

What you need to succeed:

• As this position is posted in several locations, we specify that bilingualism (French, English, both oral and written) is required for Quebec only for the frequent interactions with English and French-speaking colleagues or internal partners across Canada or worldwide.

• Current registration as an Investment Dealer Account Opening Designated Supervisor which requires successful completion of the Investment Dealer Supervisor’s course and 2 years of related work experience.

• An undergraduate degree

• Minimum of 5 years securities industry experience, with minimum 2 years experience as a Branch Manager or Compliance Officer with a CIRO firm focused on account opening and account maintenance. Experience with a securities commission or self-regulatory organization would be an asset.

• Strong industry knowledge, including an understanding of CIRO regulations, compliance requirements, investment products and financial markets.

• Results driven with strong leadership, communication, and interpersonal skills.

• Passion for client servicing and building strong relationships.

• 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.

Reasons why should you join us under the sun:

• 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.
• 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.
• In 2024, Sun Life ranked among the top 100 most sustainable global corporations by Corporate Knights for the 15th consecutive year, leading Canadian insurers.
• We are proud to be on the 2024 Best Workplaces in Canada list by Great Place to Work.

The Base Pay range is for the primary location for which the job is posted. It may vary depending on the work location of the successful candidate or other factors. In addition to Base Pay, eligible Sun Life employees participate in various incentive plans, payment under which is discretionary and subject to individual and company performance. Certain sales focused roles have sales incentive plans based on individual or group sales results.

Diversity and inclusion have always been at the core of our values at Sun Life. A diverse workforce with wide perspectives and creative ideas benefits our clients, the communities where we operate and all of us as colleagues. We welcome applications from qualified individuals from all backgrounds.

Persons with disabilities who need accommodation in the application process or those needing job postings in an alternative format may e-mail a request to thebrightside@sunlife.com.

At Sun Life we strive to create a flexible work environment where our employees are empowered to do their best work. Several flexible work options are available and can be discussed throughout the selection process depending on the role requirements and individual needs.

We thank all applicants for showing an interest in this position. Only those selected for an interview will be contacted.

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