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About the role
- Registration and Licensing Manager at Sun Life, helping financial advisors meet securities, mutual fund, and insurance requirements. Managing licensing operations, regulatory support, reporting, and continuous process improvement.
Responsibilities
- Oversee all registration and licensing activities within the Business Governance & Controls team
- Manage the day-to-day performance and staffing allocation of Registration and Licensing Associates
- Support Associates with securities, mutual fund, and life licensing applications and submissions
- Provide direction, advice, and support on complex registration and licensing issues
- Escalate matters requiring Director-level decisions, direction, or coaching
- Ensure Sun Life employees and agents receive high-quality registration support
- Provide reporting to the Director, Compliance Department, and Business Lines
- Monitor regulatory changes and disseminate information to stakeholders
- Build and maintain relationships with regulators and relevant business and industry groups
- Maintain communication across the Registration and Licensing team and Sun Life businesses
- Collaborate on operational documentation and ensure compliance with regulatory and audit requirements
- Identify documentation weaknesses and propose amendments
- Provide ongoing and ad hoc management reporting
- Participate in Registration and Licensing projects and perform other assigned duties
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 relevant securities and insurance rules, regulations, by-laws, policies, and procedures surrounding licensing, renewal, and fee requirements
- 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 causes, define options, and make pragmatic recommendations related to complex issues
- Flexibility, adaptability, and creativity to meet deadlines and manage priorities in a continually changing environment
- Bilingualism (French, English, both oral and written) is an asset
- University degree or equivalent
- Microsoft Office skills, including Excel, PowerPoint, and SharePoint
Benefits
- Working within a high-performance culture
- Supportive working environment and culture of collaboration
- Talented and diverse workforce; opportunity to launch a rewarding career
- Health, wellness, and work/life balance support
- Continuous improvement culture
- Choice and flexibility to work from both the office and virtually based on business, Client, and employee needs
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