Assistant Branch Manager; Compliance

Assistant Branch Manager (Compliance) page is loaded## Assistant Branch Manager (Compliance) locations:
Vancouver, British Columbia time type:
Full time posted on:
Posted Todayjob requisition :
JRYou 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.
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* Job Description:

** The Assistant Branch Manager (ABM) serves as a key figure in Sun Life’s face-to-face retail distribution channel, shaping and upholding a strong culture of compliance across Sun Life’s districts. This role reports dually to the Regional Vice President (RVP) and the Head of Oversight Programs and supports the District Managers (DMs) within the respective region in executing branch manager supervision activities in a delegated capacity for our mutual fund dealer, Sun Life Financial Investment Services (Canada) Inc.

(FISI). This includes overseeing the conduct and business practices of advisors and supporting advisors in meeting their regulatory obligations and FISI policies.

The ABM plays a critical role in fostering a culture of compliance and accountability and maintaining the highest standards of professionalism within their district. This position demands a proactive and advisor-centric approach to compliance and requires a passion for meeting client needs and goals.

Oversight and Supervision:
* Execute key branch manager oversight and supervision activities for FISI in a delegated capacity, including premise reviews, review, approval and monitoring of outside activities, query resolution, and supporting with new registrant supervision activities.

Compliance Training and

Coaching:

* Support compliance training in the districts and ensure training completion by advisors. Work with the Compliance Best Practices Consultants (CBPCs) and other head office stakeholders to identify key areas of training and coaching opportunities based on results from various oversight programs.

Support Head Office Programs:
* Partner and collaborate with internal partners, including Business Governance & Controls (BG&C) in launching and then training/coaching to new policies, processes and regulatory changes and initiatives in the mutual fund or insurance space.
* Be the primary point of contact for the districts for the district regulatory review program, which includes preparing, completing the review and closing out any post-review findings.

Advisor Practice Review:
* Conduct regular business practice reviews with advisors in the districts to ensure ongoing adherence to Sun Life policies and regulatory expectations, with specific focus on KYC and KYP obligations as well as needs based selling practice.

Escalation and Interactions:
* Act as the primary point of contact for advisors’ compliance inquiries and issues and escalate appropriately to DMs, Tier 1 Supervision and/or Compliance.
* Lead regular and proactive check-ins and reporting to DMs to ensure that the DMs, as the designated Branch Managers for FISI, have visibility and awareness of the compliance health within their districts.
* Branch Manager designation by completing any one of the following:
Branch Managers Course Exam or Mutual Fund Branch Managers’ Examination Course or Branch Compliance Officers Course Exam
* Registered as a branch manager within the last 3 years
* LOMA or LLQP designation, or obtained within first 6 months of hire
* University degree with minimum of 7 years of related experience in the financial services industry
* Minimum of 4 years of experience in the wealth management industry
* Demonstrated expertise in regulatory requirements and compliance standards related to the retail distribution of mutual funds and other investment products and insurance products
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