Job Description:Reporting to the Director, Wealth Oversight Programs within the
Business Governance and Controls function (BG&C) within Retail Advice & Solutions, this role of the Corporate Branch Manager (CBM) is responsible for executing branch manager supervision activities for Sun Life Canada Securities Inc. (SLCSI)
You will be registered with CIRO as a Supervisor of Registered Representatives and Designated Supervisor of New Accounts/Account Supervision and Advertising, Sales Literature and Correspondence. The successful candidate 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.
What will you do?Field Supervision- Execute effective and efficient trade supervision and account opening / management functions of our investment dealer-registered advisors to ensure compliance with regulatory requirements and expectations and established policies, practices and procedures.
- Manage, address and/or escalate various first line supervision risk and compliance issues and audit findings in a timely manner.
Continuous Improvement and Project Support- Identify appropriate performance metrics (KRIs/KPIs) and proactively identify control gaps and advisor behavior trends to continually refine and help enhance BG&C's oversight programs.
- Proactively identify data, reporting, tool and technology needs with BG&C leadership to improve productivity and execution of supervision accountability, and support building/executing against the BG&C capabilities roadmap.
- Support investment dealer initiatives and strategies by providing subject matter expertise to ensure effective and efficient controls and oversight programs are put in place and/or are enhanced.
What do you need to succeed?- French and English bilingualism- an asset
- Growth mindset - willing to challenge status quo and lead change
- Excellent judgement
- Excellent communication skills, with comfort presenting to large groups as well as different audiences, including senior leadership, internal examination teams, advisors and external regulators
- Work consistently with urgency and purpose
- Previous experience working collaboratively in a matrixed organization and managing complex projects is an asset
- Availability to travel to conduct supervisory branch visits
- University degree and 4+ years of progressive experience within the financial services sector with wealth, life, and health insurance products; at least 2 years relevant experience working for an investment dealer
- Extensive knowledge and understanding of regulatory requirements for investment dealers regulated by CIRO (formerly IIROC and MFDA) and Ontario Securities Commission (OSC)
- Experience working in an OSFI-regulated environment, with alignment to a three lines of defense model
- Registered managed account supervisor would be considered an asset
Requirements: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)
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.
We are proud to be a hybrid organization that offers our employees the choice and flexibility to work from both the office and virtually based on the needs of the business, our Clients and you.
Salary Range:85,000/85 000 - 128,000/128 000
Job Category:Business Analysis - Process
Posting End Date:18/11/2026
