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Director, Regulatory Compliance and Risk Management

2 months ago

Waterloo, Canada Sun Life Full time
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. Discover how you can make a difference in the lives of individuals, families and communities around the world.Sun Life is seeking a Director, Operational Risk, reporting to AVP, Investment and Operational Risk, Enterprise Asset Management. This position is within the Risk and Compliance, Enterprise Asset Management Team and plays a key role in providing oversight and challenge of the effectiveness and resilience of operational risk practices, processes and initiatives across the General Account and Segregated Account assets of Sun Life.The Director will be engaged in operational risk programs within enterprise asset management business in Sun Life in both North America and Asia. The Director will interact with colleagues in investment functions managing assets for the Company and for our clients. The Director will also develop close working relationships with the Corporate Operational and Enterprise Risk Management Teams, Sun Life Capital Management Risk and Compliance as well as other professionals across the Company. Risk Governance Provide governance oversight of policies, operating guidelines and practices that set the standard of management of operational risk in Sun Life and Asset Management Business Support the effective implementation of changes to operational risk policies and standards (such as Third Party Risk Management Policy, Model Risk Policy, Operational Resilience programs) to ensure compliance with Sun Life Standard as well as regulatory requirements Co-ordinate validation of compliance attestations and testing of compliance to risk policies within asset management business Operational Risk Programs Ensure proper identification, measurement and management of operational risks Review and challenge Operational Risk Events (‘ORE’) by ensuring root cause analysis is conducted to identify process or control breakdown. Perform trend analysis to derive potential thematic risk reviews to improve control effectiveness Support, review and challenge Risk Control Self Assessments (‘RCSA’) produced by Line 1B Risk.Partner with Line 1B Risk and Business on critical processes and key controls library documentation as well as develop testing programs Review, update and develop Key Risk Indicators (‘KRIs’) against the various operational risks Partner with control functions to enhance issue management programs Risk Reporting Support in developing a sound and insightful Line 2 operational risk reporting framework by partnering with Line 1B Risk and Compliance Produce reports on Operational Risk Profile and risk presentations for asset management business to senior management Change Management Support Corporate initiatives such as OSFI B-10 TPRM and E-21 Operational Risk Management and Resilience and ensure regulatory compliance in the asset management business Keep abreast of regulatory updates and developments in North America (such as OSFI, SEC etc.) as well as industry trends such as climate risk Support identification of emerging risks related to asset management business by potentially leveraging applications or AI solutions Completion of a Bachelor’s degree or equivalent Financial services experience (7+ years), with a background in Risk Management and/or Compliance within asset management business Strong data analytic skills, data analysis and data visualization by leveraging tools such as Tableau or PowerBI or AI applications to produce insightful results and potential automation Advanced Microsoft office skills Good knowledge of the overall value chains in investment management Ability to build strong working relationships across various functional areas, professions, and management levels

Job Category: Risk Management