Manager, Registration and Licensing

Sun Life Financial; Toronto; On-site; CAD 85,000 - 128,000; Full time

Job summary

Sun Life Financial is seeking a Manager, Registration and Licensing to lead the day-to-day activities of the Registration and Licensing team and ensure compliant processes for securities, mutual funds and life licensing. You will guide associates, manage staffing, and escalate complex issues to the Director for policy interpretation and decisions.

Proven experience in regulatory requirements, NRD familiarity, and strong communication are essential.

Qualifications

• 3–5+ years of experience in Registrations or Compliance, preferably within securities or mutual funds and/or an Insurance Company.
• Knowledge and understanding of securities and insurance rules, regulations, by‑laws, policies and procedures for licensing, renewal and fee requirements.
• Experience with the National Registration Database (NRD).
• Administrative and time-management skills to meet deadlines.
• Strong interpersonal and communication skills.
• Excellent problem-solving skills to identify root causes and provide pragmatic recommendations for complex issues.
• Flexibility/adaptability/creativity to manage priorities in a changing environment.
• Bilingualism (French, English) is an asset.
• University degree or equivalent.
• Microsoft Office skills (Excel, PowerPoint, SharePoint)

Responsibilities

• Oversee day-to-day performance of Registration and Licensing Associates and their submissions.
• Provide guidance on regulatory requirements for securities, mutual funds and life licensing.
• Plan and allocate staffing to activities and initiatives per department objectives.
• Escalate complex issues to the Director for decision and coaching.
• Ensure Sun Life employees and agents receive high-quality registration support.
• Produce management reporting for the Director, Compliance and Business Lines.
• Keep current on regulatory changes and disseminate information to stakeholders.
• Build and maintain relationships with regulators and industry groups.
• Maintain intra-team communication and document day-to-day operations.
• Ensure documentation follows regulatory and audit requirements.
• Identify weaknesses, propose amendments and implement improvements.
• Contribute to Registration and Licensing projects and other duties.

Skills

Regulatory compliance

Stakeholder management

Communication

Problem solving

Time management

Adaptability

Cross-functional collaboration

Bilingualism (FR/EN)

Education

University degree or equivalent

Tools

NRD

Excel

PowerPoint

SharePoint

Job description

You 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. At Sun Life, we're driven by our Purpose: helping our Clients achieve lifetime financial security and live healthier lives. Our values shape how we work: caring, authentic, bold, inspiring, and impactful. When you join Sun Life, you'll work with passionate colleagues and empowering leaders who support your growth and celebrate your contributions, so you can make a meaningful difference in our Clients' lives. Discover how you can make a difference in the lives of individuals, families and communities around the world.

Job Description:

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.

What would you do?

The Manager, Registration and Licensing manage the day-to-day performance of assigned Registration and Licensing Associates, in relation to various registration and licensing applications and submissions.

Supporting the Associates through strong knowledge of the regulatory and provincial requirements for securities, mutual funds and life licensing.

In addition, the Manager, Registration and Licensing, is also responsible for planning and executing 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.

In addition, ensure that the Sun Life employees and agents receive high quality registration support.

Provides relevant reporting as appropriate to: Director, Registration and Licensing; Compliance Department and Business Lines.

The incumbent is responsible for keeping current on regulatory changes and/or requirements and disseminating 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.

Strong interpersonal skills are required with an ability to communicate with individuals at different levels, and to work as part of a cross functional team.

Must 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.

Providing 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.

What do you need to succeed?

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

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

University degree or equivalent

Microsoft office skills (Excel, PowerPoint, SharePoint)

What's in it for you?

Working within a high-performance culture. Supportive working environment, culture of collaboration. Talented and diverse workforce; opportunity to launch a rewarding career. A company that promotes health, wellness, and work/life balance. We encourage our employees to champion continuous improvement. Joining a reputable organization with over 150 years of history.

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.

Diversity and inclusion have always been at the core of our values at Sun Life. A diverse workforce with wide perspectives and creative ideas benefits our Clients, the communities where we operate and all of us as colleagues.

We welcome applications from qualified individuals from all backgrounds. Persons with disabilities who need accommodation in the application process, or those needing job postings in an alternative format, may e-mail a request to [e-mail].

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.

We may use artificial intelligence to support candidate sourcing, screening, interview scheduling.

Salary Range: 85,000/85 000 - 128,000/128 000

Job Category: Business Analysis - Process

Shine together At Sun Life, you can be your most brilliant self. Our supportive, flexible, and inclusive work environment is one where you – and your career – can thrive. Whatever your aspirations, collaborative leaders and colleagues are ready to help you learn, grow, and succeed. Make life brighter We’re a global company with a passion for people. Our purpose is to help Clients achieve lifetime financial security and live healthier lives. As a team of 30,000 across 26 countries, our impact is far-reaching, and locally relevant There’s power in numbers. As part of Sun Life’s growing team, you have an impact on people in your community and around the world. Shape the future With an optimistic eye on a brighter future, we drive to innovate. Be part of leading change, push boundaries and try new ways of working. Use data to drive bold actions. Be agile and pivot as we test and learn. At Sun Life, we’re driving transformation, sustainability and innovation for our Clients, employees, partners, and communities. Join us. Together, we can make the future brighter.