Manager, Registration and Licensing

Sun Life • Waterloo, ON

1d • CA$80,000 - CA$128,000 • Hybrid

About The Position

Reporting to the Director, Registration and Licensing, the Manager, Registration and Licensing will play a critical role within the Business Governance & Controls (BG&C) team. The Manager, Registration and Licensing, oversees all the registration and licensing activities. This role contributes to the development and streamlining of current policies, procedures and processes while aligning Advisors’ wealth and insurance business practices with regulatory requirements and business priorities through regulatory and compliance solutions and new business processes and controls. BG&C strives for continuous improvement to promote advisory-friendly, client-centric, and compliant outcomes.

Requirements

• 3-5+ years of experience in Registrations or Compliance, preferably within a securities or mutual fund dealer and/or an Insurance Company
• Knowledge and understanding of the relevant securities and insurance rules, regulations, by-laws, policies and procedures surrounding the licensing, renewal and fee requirements of securities and Insurance
• Working knowledge and experience with the National Registration Database (NRD)
• Administrative and time management skills to meet various deadlines
• Strong interpersonal and communication skills
• Excellent problem-solving skills to understand root cause, define options and make pragmatic recommendations related to complex issues
• Proven flexibility/adaptability/creativity to meet deadlines and manage priorities in a continually changing environment
• University degree or equivalent
• Microsoft office skills (Excel, PowerPoint, SharePoint)

Nice To Haves

• Bilingualism (French, English, both oral and written) is an asset

Responsibilities

• Manage the day-to-day performance of assigned Registration and Licensing Associates, in relation to various registration and licensing applications and submissions.
• Support the Associates through strong knowledge of the regulatory and provincial requirements for securities, mutual funds and life licensing.
• Plan and execute day-to-day staffing allocation to various activities and initiatives in accordance with department objectives and regulatory requirements.
• Provide well-informed directions, advice and support on the day-to-day registration and licensing related issues, situations, questions and other matters which may be serious, complex or unique that cannot be handled independently at the Registration and Licensing Associate level.
• Determine matters which require further escalation to the Director, Registration and Licensing for decision, direction or coaching including the review of documents, various approvals, policy and regulatory interpretation, reminders and procedure support.
• Ensure that the Sun Life employees and agents receive high quality registration support.
• Provide relevant reporting as appropriate to: Director, Registration and Licensing; Compliance Department and Business Lines.
• Keep current on regulatory changes and/or requirements and disseminate acquired information to the appropriate stakeholders.
• Build and maintain strong relationships with regulators and other relevant business and industry groups.
• Maintain communication within the Registration and Licensing team and Sun Life businesses through the sharing of information on an on-going basis.
• Deal with sensitive and confidential information in a professional manner.
• Collaborate with the management team in creating and maintaining operational documentation for day-to-day functioning of the department.
• Ensure documentation follows regulatory and audit requirements.
• Determine appropriateness, identify areas of weakness and propose necessary amendments.
• Provide management reporting on all the above and within the Registration and Licensing Team and to Sun Life on an ad hoc and on-going basis.
• Participate in Registration and Licensing projects and other duties as assigned.

Benefits

• Supportive working environment
• Culture of collaboration
• Opportunity to launch a rewarding career
• Company that promotes health, wellness, and work/life balance
• Encourage employees to champion continuous improvement
• Reputable organization with over 150 years of history
• Various incentive plans
• Sales incentive plans based on individual or group sales results (for certain sales focused roles)

What This Job Offers

• Job Type: Full-time
• Career Level: Manager
• Education Level: Associate degree