Manager, Compliance
2 months ago
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.
This position reports to the AVP, Chief Ethics Officer, Sun Life Enterprise Asset Management Compliance supporting the Ethics Office Compliance Program for Sun Life’s Asset Management Business. The Ethics Office and Code of Ethics is a global program covering US, Canada, UK, and Asia. This position supports the day-to-day operations of the Code of Ethics Program and assisting in the implementation of Ethics Office initiatives.
**What will you do?**
- Support the day-to-day operations of the Code of Ethics Program and associated processes
- Uphold standards of the Code of Ethics policy and procedures across the firm; and implement procedures to ensure the Code of Ethics program and oversight remain effective and efficient in identifying, preventing, detecting, and correcting non-compliance with applicable laws, regulations, policy, and conduct
- Administer the Code program components, including: personal trading pre-clearance and disclosure requirements; maintenance of access persons and restricted lists; outside activities; ensure accurate reconciliation of brokerage statements and trading activities; ensure completion of attestations and records
- Identifies Code and potential personal trading issues, investigating these to remediation
- Communicate compliance issues and trends; prepare reports, metrics and trends for management; prepare reports and documentation associated with the administration of the Code program (e.g. Notice of Violations, Certifications)
- Support and coordinate efforts related to audits, reviews, and examinations
- Support development and deployment of training materials and program
- Support and coordinate efforts on department projects and initiatives
- Support different work hours and holidays are required due to nature of global program
**What do you need to succeed?**
- Strong working knowledge of relevant securities regulatory requirements and industry best practices as it pertains to Code of Ethics, Personal Trading, Outside Activities, Conflicts of Interest, Material Non-Public Information
- Strong communication (written and oral), research and presentation skills. Communicates effectively to a wide variety of audiences (including senior management, team, peers and employees) across the organization
- Strong analytical skills with the ability to provide comprehensive findings and articulate well-written conclusions and recommendations
- An overall understanding of the investment management industry is required; industry best practices, experience with adviser or investment fund manager is preferred
- Ability to work in a deadline-oriented environment with multiple and/or competing priorities
- Experience with Code of Ethics administration systems, such as ACA ComplianceAlpha a plus
- Ability to navigate in a complex, matrix organization
**Education, Experience, Qualifications**
- Bachelor’s degree in business, finance or related field; or post-secondary education or equivalent work experience. CFA (or similar) designation are a plus
- 3+ years relevant work experience in the investment management industry, specifically within a compliance role or securities registrant firm (US SEC, OSC)
- Knowledge of Code of Ethics program, frameworks, systems (e.g. ACA ComplianceAlpha) and the associated processes
**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
- LI-NB1
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.
**Salary Range**:
76,000/76 000 - 125,000/125 000
**Job Category**:
Compliance
**Posting End Date**:
06/10/2024
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