Corporate Branch Manager Wealth Supervision
Sun Life Assurance Company of Canada
Lead wealth supervision at Sun Life Canada Securities with trade oversight and regulatory expertise in a hybrid work model. Support registered advisors across branch activities.As Corporate Branch Manager, you will execute supervision activities within Business Governance and Controls. You will oversee trade supervision, account opening, account management, and advertising compliance. The position requires strong knowledge of investment dealer products, CIRO requirements, and industry trends.Key Responsibilities:
Execute trade supervision for investment dealer-registered advisorsSupervise account opening and ongoing account management functionsAddress or escalate first-line supervision risks and audit findingsIdentify control gaps and advisor behavior trendsSupport enhanced oversight programs and dealer initiativesRequirements:
University degree and four-plus years financial services experienceAt least two years working for an investment dealerKnowledge of CIRO and Ontario Securities Commission requirementsCanadian Securities Course or CFA Level OneInvestment Dealer Supervisor Course and Conduct Practices HandbookApply wealth supervision, regulatory judgement, and advisor oversight expertise as Corporate Branch Manager with Sun Life Canada Securities.
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Execute trade supervision for investment dealer-registered advisorsSupervise account opening and ongoing account management functionsAddress or escalate first-line supervision risks and audit findingsIdentify control gaps and advisor behavior trendsSupport enhanced oversight programs and dealer initiativesRequirements:
University degree and four-plus years financial services experienceAt least two years working for an investment dealerKnowledge of CIRO and Ontario Securities Commission requirementsCanadian Securities Course or CFA Level OneInvestment Dealer Supervisor Course and Conduct Practices HandbookApply wealth supervision, regulatory judgement, and advisor oversight expertise as Corporate Branch Manager with Sun Life Canada Securities.
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Vacancy posted 1 hour ago
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