SLCSI Bilingual Account Opening Branch Manager

at  Sun Life

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 Manager, Account Opening Management 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 customer service, delivers impeccable accuracy, and is eager to expand their career in Operations. The incumbent will have an in-depth knowledge working within CIRO regulations and requirements and of CIRO’s Investment Dealer Partially Consolidated Rules. You will partner closely with the Business Governance & Controls function (BG&C) and second line partners to ensure that our account opening process meets regulatory requirements and expectations.
You will be registered with CIRO as a ‘Supervisor of Registered Representatives or Investment Representatives’ and will 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 as they impact business activities, including regulatory and industry trends. You will be bilingual in French and English with the ability to execute your role in both French and English.

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

Please refer the Job description for details