Compliance Analyst

5 months ago

Waterloo, Canada Sun Life Full time

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.

**About the role**:
SLGI Asset Management Inc. (SLGI) Compliance is looking for a Compliance Analyst to join their dynamic team, reporting to the Director, SLGI Compliance. This individual will provide analytical and administrative support for the SLGI Compliance Program and will work closely with business unit partners, peers and leadership in Canada Compliance and Enterprise Compliance, among others.

The incumbent should be familiar with regulation applicable to SLGI Asset Management Inc.in its roles as an investment fund manager, portfolio manager, mutual fund dealer and commodity trading manager. Experience working in an asset management Compliance function within a large, federally regulated financial institution is an asset.

**What will you do?**
- Administers SLGI’s Personal Trading Policy, including but not limited to:

- onboarding new Access Persons
- conducting trade reviews and documenting support
- monitoring of brokerage account statement activity
- investigating possible Policy violations, escalation of any concerns identified
- supporting New Access Person and Annual Refresher training content and delivery
- coordinating Personal Trading Policy reviews, annually and as needed
- preparing quarterly and ad hoc reporting
- maintaining operational procedures
- Supports the timely and accurate preparation of quarterly Chief Compliance Officer report (the CCO Report), validation and reconciliation of applicable metrics using Sun Life’s Governance, Risk and Compliance (GRC) tool. Gathers inputs and populates established CCO Report template, coordinating Director and CCO reviews.
- Assists with the overall reporting process, investigating, recommending and implementing enhancements such as automating the collection and validation of data, deepening insights with trends and visual elements, improving efficiency, consistency and overall design. Collaborates with other teams to ensure consistent reporting of compliance risk.
- Coordinates SLGI’s Annual General Compliance Training cycle, including developing and updating content, coordinating translation, preparing communications, tracking completion and attestations, preparing reporting. Participates in the investigation of training platform options and recommends process improvements.
- Supports the Regulatory Compliance Management (RCM) Policy framework for SLGI by coordinating the timely review of any subsidiary Compliance Policies and Operating Guidelines.
- Coordinates Compliance responses to due diligence questionnaires, requests for information, and compliance certificates.
- Maintains current and accurate information on SLGI and its registered individuals, including quarterly confirmations and updating of information in NRD/SEDAR+, OBSI regulatory filings.
- Monitors regulatory change applicable to SLGI and coordinates approach with broader SLGI Compliance team.
- Maintains and enhances the SLGI Compliance SharePoint site.

**What do you need to succeed?**
- College diploma or University degree with 3-6 years of financial industry experience or an equivalent combination of education and experience.
- 2+ years of experience in Compliance
- Excellent analytical skills (planning, quantitative skills, attention to detail and quality standards).
- Ability to manage and prioritize high work volumes during peak periods (annual planning, quarterly reporting cycles, etc.).
- Ability to identify problem areas and propose changes.
- Effective written and verbal communication skills.
- Ability to build strong working relationships with Business Unit partners, Compliance colleagues and leadership.
- Results driven and goal oriented with a strong sense of ownership and accountability.

**Preferred skills**:

- Canadian Securities Course (CSC) is preferred.
- Solid understanding of the RCM lifecycle and program elements.
- Experience working in the asset management compliance function within a federally regulated financial institution.
- Knowledge of SLGI Asset Management Inc. product offering and categories of registration.

**What's in it for you?**
- Hybrid work environment
- A friendly, collaborative, and inclusive culture
- 15 vacation days per year
- Flexible Benefits from the day you join to meet the needs of you and your family
- Pension, stock and savings programs to help build and enhance your future financial security
- The opportunity to move along a variety o

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