Compliance Manager
3 weeks ago
At Sun Life, we are seeking a highly skilled and experienced Compliance Manager to join our Enterprise Asset Management team. As a key member of our compliance team, you will play a critical role in ensuring that our business operations are in compliance with relevant laws, regulations, and internal policies.
Key Responsibilities:- Conduct compliance testing, monitoring, and surveillance to ensure adherence to regulatory requirements and internal policies.
- Perform thematic reviews and monitoring on key regulatory requirements and issues, including securities regulations from various jurisdictions.
- Collaborate with business partners to identify and address compliance risks and develop remediation plans.
- Develop and maintain strong relationships with business partners and Compliance leaders to ensure effective communication and escalation of compliance matters.
- Assist in the integration of our Firm's regulatory compliance management reporting and other related programs.
- Participate in deliver compliance initiatives across the Local Business Units, Asia Region, and Enterprise Compliance.
- Bachelor's degree in Accounting, Finance, Law, or a relevant field.
- Advanced degree and/or professional certification (e.g., CFA, CPA, MBA) a plus.
- At least 5 years of solid compliance testing, audit experience for Asset Management industry or regulatory supervisory experience.
- Familiarity with trading systems (e.g., Bloomberg, Aladdin, Charles River) and data analytics tools (e.g., Tableau, Power BI, SQL, Python, R) a plus.
- Knowledge of regulatory framework and requirements by US, Canada, and Asian regulators.
As a Compliance Manager at Sun Life, you will have the opportunity to work with a talented team of professionals, develop your skills and expertise, and contribute to the success of our organization.
We offer a competitive compensation package, comprehensive benefits, and opportunities for professional growth and development.
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Compliance Manager
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