Data Asset Management Director

4 weeks ago


Waterloo, Ontario, Canada Sun Life Full time
Job Summary

As a seasoned professional in the wealth management industry, you will lead the strategic direction, execution, and ongoing evolution of Sun Life's Mutual Fund Dealer's district regulatory review program. This role requires a breadth of experience in the wealth management industry, in-depth knowledge of regulatory requirements, and experience in designing and executing oversight programs that meet regulatory expectations.

Key Responsibilities
  • Develop, execute, and lead review planning-related processes and activities across the district regulatory review program.
  • Identify and support the district regulatory review team in identifying trends, control weaknesses, and operational opportunities to assess and shape the overall compliance of the business.
  • Manage the prioritization of branch reviews, using a risk-based approach to ensure scope and extent of work is completed in accordance with regulatory expectations and enterprise standards.
  • Build and execute a quality assurance program to ensure effectiveness of other first-line oversight programs within Business Governance and Control.
  • Maintain a thorough understanding of the business and its risks and processes, and through the district regulatory review and quality assurance programs, enhance the compliance ecosystem within the business.
  • Collaborate with other Business Governance and Control teams, Compliance, and field leadership to ensure compliance with regulatory, industry, and best practices expectations for similar functions.
Requirements
  • University degree with a minimum of 10 years of related experience in the financial services industry, with a minimum of 5 years of wealth management experience.
  • Demonstrated record of success in the management and administration of a testing, audit, or supervision program.
  • General knowledge of audit and quality assurance practices and methods and technology.
  • Excellent oral and written communication skills, with demonstrated relationship management and conflict resolution skills.
  • Excellent coach and mentor with proven success at leading and developing a high-performing team and driving transformation in ways of thinking and executing on work.
  • Strong project and program management skills.
  • Data analytics experience is preferred.
  • Bilingualism (French and English, both oral and written) is required for Quebec only for frequent interactions with English and French-speaking colleagues or internal partners across Canada or worldwide.
What We Offer

Opportunities to own your career development with programs to continuously learn, build skills, grow through coaching, and more. Sun Life is a leader in the financial services industry, with a commitment to diversity and inclusion. We strive to create a flexible work environment where our employees are empowered to do their best work.



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