Manager, Compliance

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. Discover how you can make a difference in the lives of individuals, families and communities around the world.

Job Description:

The Manager of Compliance reports to the Director of Compliance for SLGI Asset Management Inc. and will join a motivated, results oriented and dynamic Compliance team. In this role, you'll support the second line of defense compliance function to ensure all business activities as an Investment Fund Manager, Portfolio Manager and Exempt Market Dealer meet all governing regulatory requirements and internal policies.

​What will you do?

• Preparing Chief Compliance Officer (CCO) report informing on overall health of compliance for effective regulatory risk management. Act as compliance lead on preparing or providing information for other compliance memos or reports as required.

• Lead the Registration Program activities including but not limited to registrations, terminations and update of registrant's information with the regulators.

• Support and coordinate CCO responses to regulatory reviews, inquiries and surveys from the Ontario Securities Commission and other regulators. This includes collecting responses from business partners and support the preparation and review of responses.

• Support the regulatory changes management process through preparation and communication of interpretation summaries and effectively oversee the development and implementation of action plans.

• Act as compliance reviewer to assigned Business Process Reviews and Privacy Impact Assessments.

• Provide compliance advice and challenge to key elements of the Regulatory Compliance Management (RCM) Program such as controls assessments and compliance monitoring activities.

• Review regulatory documents like Simplified Prospectus, Annual Information Form, Fund Facts, and Management Report on Fund Performance for compliance.

• Assist in compliance policy updates and preparation of training materials.

• Act as a backup to the Director of Compliance and other compliance team members and assist in other duties as assigned.

What do you need to succeed?

• Extensive compliance experience working in the securities industry for an Investment Fund Manager, Portfolio Manager and/or Exempt Market Dealer.

• Post-secondary education required and preferably completed Canadian Securities Course (CSC) and Conduct and Practices Handbook Course (CPH).

• Exceptional interpersonal skills and ability to negotiate at all levels of the organization. Fluent communication and business writing skills in English are required.

• Proficient in Microsoft applications with advanced Excel skills. Familiarity with Tableau an asset.

• Robust strategic thinking and problem solving skills with ability to identify key messages, trends and process improvements.

• Ability to work independently as well as in a team and manage multiple priorities and timelines.

What's in it for you?

• The opportunity to move along a variety of career paths with amazing networking potential

• Flexible Benefits from the day you join to meet the needs of you and your family

• We're committed to creating an inclusive and respectful environment. Our goal is to make sure all our employees have the chance to live up to their full potential

• We're honoured to be recognized as a 2023 Best Workplaces in Ontario by Great Place to Work® Canada

• We are thrilled to be recognized by Excellence Canada with their top-level certification, the Canada Order of Excellence for Mental Health at Work®, for prioritizing employee well-being, fostering a positive work culture, and achieving excellence in mental health

*LI-MS

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 thebrightside@sunlife.com.

At Sun Life we strive to create a flexible work environment where our employees are empowered to do their best work. Several flexible work options are available and can be discussed throughout the selection process depending on the role requirements and individual needs.

We thank all applicants for showing an interest in this position. Only those selected for an interview will be contacted.

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