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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in managing registration and licensing processes, ensuring compliance with securities and insurance regulations, and providing high-quality support to stakeholders. Proficient in administrative tasks, reporting, and maintaining effective communication within teams and with regulators.
Highest-signal resume keywords
Registration ManagementCompliance KnowledgeNational Registration Database (NRD)Bilingualism (French, English)Microsoft Office Skills
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
Registration ManagementCompliance KnowledgeNational Registration Database (NRD)Securities RegulationsInsurance RegulationsLicensing ProceduresDocument ReviewReportingOperational DocumentationRegulatory Interpretation
Soft Skills
Interpersonal SkillsCommunication SkillsProblem-Solving SkillsFlexibilityAdaptability
Tools & Technologies
Microsoft ExcelMicrosoft PowerPointMicrosoft SharePoint
Industry Keywords
SecuritiesMutual FundsInsuranceRegulatory ComplianceRegistration and LicensingProvincial RequirementsAudit RequirementsStakeholder CommunicationDocumentation ManagementConfidential Information Handling
About the role
Key responsibilities & impact- Manage the day-to-day performance of assigned Registration and Licensing Associates
- Oversee registration and licensing applications and submissions
- Support Associates on regulatory and provincial requirements for securities, mutual funds and life licensing
- Plan and execute daily staffing allocation across activities and initiatives
- Provide direction, advice and support on complex registration and licensing matters
- Determine matters requiring escalation to the Director, Registration and Licensing
- Review documents, approvals, policy and regulatory interpretations, reminders and procedure support
- Ensure Sun Life employees and agents receive high-quality registration support
- Provide reporting to the Director, Registration and Licensing, 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
- Handle sensitive and confidential information professionally
- Collaborate on operational documentation and ensure compliance with regulatory and audit requirements
- Identify documentation weaknesses and propose amendments
- Provide management reporting on an ad hoc and ongoing basis
- Participate in Registration and Licensing projects and perform other assigned duties
Requirements
What you’ll need- 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 cause, 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
Comp & perks- 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
- Hybrid work arrangement with flexibility to work from the office and virtually
- Participation in various discretionary incentive plans for eligible employees
- Accommodation support during the application process
- Joining a reputable organization with over 150 years of history
