Senior Director, Compliance

Senior Director, Compliance - SLC Management Join to apply for the Senior Director, Compliance - SLC Management role at SLC Management. SLC Management is a growing global asset management firm providing innovative and diversified investment solutions to institutional investors. The firm operates a full spectrum of solutions for more than 1,400 institutional clients and manages over CA$387 billion (US$286 billion) in assets under management. As a subsidiary of Sun Life, SLC Management benefits from the stability and strength of a world‑leading financial services company. We are a performance‑driven organization with a deliberate focus on fostering a development‑focused, inclusive culture built around our Core Values of being client obsessed, valuing each other, acting with speed and having an owner’s mindset. You will play a role in fulfilling our purpose and making a difference in a rewarding work environment with ample opportunities for growth. SLC Management offers a mix of in‑office and virtual work; employees are generally expected to be in‑office at least three days each week with flexibility as business needs dictate. Job Description WHAT IS IN IT FOR YOU The Senior Director, Compliance will play a critical leadership role in supporting and enhancing the Registered Investment Advisor compliance program. This role ensures regulatory adherence, operational excellence, and strategic alignment across the organization, collaborating cross‑functionally and driving innovation in compliance practices. WHAT YOU WILL DO Support the Registered Investment Adviser Compliance Program functions. Manage program elements for the following categories of registration: U.S. SEC: Registered Investment Advisor. OSC: Portfolio Manager, Investment Fund Manager, Exempt Market Dealer, Commodity Trading Manager. Develop and maintain compliance manuals, policies & procedures, monitoring & testing, AML, training, regulatory filings, errors & exceptions, valuations & allocations, vendor management, compliance systems & technology, and reporting. Establish standards and procedures to ensure the investment advisor compliance program remains effective and efficient in identifying, preventing, detecting, and correcting non‑compliance. Monitor and report on changing regulatory requirements; partner with business colleagues to adopt best practices and test operating effectiveness. Coordinate regulatory reviews, exams, inquiries, and audits. Support regulatory filings and compliance with U.S. SEC and OSC requirements. Work with Sales, Distribution & Business Development, Client Relationships, Marketing, Finance, Operations, and Legal to support investment management activities from a compliance perspective. Communicate compliance issues and trends; prepare compliance reports for management. Identify potential compliance risks and vulnerabilities; manage and drive effective resolution with updates to management. Act as a technical advisor and support business initiatives from a compliance point of view. Manage and support investment advisor compliance process operations. WHAT YOU WILL NEED TO SUCCEED Bachelor’s degree in Business, Finance, Economics, or related field; advanced degrees or certifications (CFA, IACCP, ACAMS) are highly valued. Minimum 8 years of experience in asset management compliance, preferably in a global or matrixed organization. Strong knowledge of regulatory frameworks (U.S. SEC: Investment Advisers Act of 1940, Investment Company Act of 1940; OSC) and industry best practices. Excellent interpersonal, communication, change management, and influencing skills; team player mindset. Demonstrated ability to recommend to management and influence business decisions based on thorough analysis. Ability to translate strategic direction from leaders into tactical plans and champion departmental goals. Experience in the financial services industry with an understanding of operational management practices and objectives. For U.S. based applicants: base salary range is $151 K–226 K.For Canada based applicants: base salary range is CA$124 K–173 K. Why SLC Management Opportunity to work for a growing global institutional asset manager. Excellent benefits and wellness programs supporting mental, physical and financial well‑being, including generous vacation and sick time, market‑leading paid family, parental and adoption leave, a partially‑paid sabbatical program, medical plans, company‑paid life and AD&D insurance, and disability programs. Retirement and Stock Purchase programs: 401(k) plan with employer‑paid match and employer‑funded retirement account. A flexible work environment with a friendly, caring, collaborative and inclusive culture focused on career growth and development. Opportunity to advance along diverse career paths with amazing networking potential. SLC Management is a regulated business; all employees must declare personal investment accounts and seek pre‑clearance on transactions. Job Category Compliance Compensation and Benefits Base salary is competitive. The role is eligible for discretionary annual incentive awards based on individual and overall business performance, plus a broad range of competitive benefits. Equal Opportunity Statement We are committed to pay transparency and equity. Your actual base salary will be determined by your unique skills, qualifications, experience, education, and geographic location. Inclusive Workforce We are dedicated to building teams with varied experiences, backgrounds, perspectives and ideas that benefit our colleagues, clients and communities. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Reasonable Accommodation We will make reasonable accommodations to known physical or mental limitations. 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. Final Notes We thank all applicants for their interest. Only those selected for an interview will be contacted. We do not require or administer lie detector tests as a condition of employment or continued employment. For applicants residing in California, please read our employee California Privacy Policy and Notice. #J-18808-Ljbffr