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Director, Compliance Oversight

2 months ago


Kitchener, Ontario, Canada Sun Life Full time

Job Summary:

The Director, Compliance Oversight will lead a team of Compliance Managers responsible for providing independent compliance oversight, guidance and support to the Group Retirement Services (GRS) business for Sun Life Financial Canada.

Key Responsibilities:

  • Develop and lead an effective team to provide compliance oversight, support, and guidance to the business.
  • Work within an existing Risk and Compliance Management (RCM) program, ensuring the business is aware of existing, new and changing regulatory requirements, and is in compliance.
  • Work with teams accountable for analytics and testing to ensure appropriate, ongoing compliance verification.
  • Escalate compliance matters as appropriate.
  • Prepare quarterly compliance memos, and ad hoc reporting.
  • Develop Key Risk Indicators (KRIs), analyze trends, and prioritize issues.
  • Apply appropriate resources to execute on compliance initiatives and projects.
  • Participate in various business groups to provide compliance advice and support, and to ensure compliant outcomes.
  • Assist the Business Unit Compliance Officer (BUCO) in fulfilling the mandate outlined in Sun Life's Regulatory Compliance Management Policy and Operating Guideline.
  • Other duties as required.

Requirements:

  • University degree or equivalent.
  • 10+ years relevant industry experience.
  • Knowledge of GRS and CSC products and services, the regulatory environment, and emerging issues impacting the business.
  • Knowledge of Regulatory Compliance Management and experience in working in a 3LOD environment.
  • Strong Excel and macro writing skills to facilitate analysis of trends and reporting.

Preferred Skills:

  • Proven experience in developing strong working relationships with business partners and stakeholders.
  • Proven success in working with regulators.
  • Ability to excel in a rapidly changing environment.
  • Ability to manage and prioritize multiple accountabilities with minimal direction.
  • Ability to influence without direct authority.
  • Strong facilitation, communication, and presentation skills.
  • Strong problem-solving skills.
  • Strong organizational, documentation, project, and process management skills.
  • French is an asset.

Notes/Unique Requirements:

  • This role provides a high level of exposure to senior management and opportunities to learn about many areas of the business.
  • Deadlines are a challenge due to multiple accountabilities.
  • Some travel between Sun Life offices will be required.