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About the Role
Sun Life Financial is seeking a Director, Compliance Specialist to support a varied mandate within Canadian Compliance. Reporting to the AVP, Canada Compliance and Chief Compliance Officer, Privacy, this role is primarily accountable for optimizing a Regulatory Compliance Management (RCM) program for the Corporate Functional Areas (CFA's) in Canada utilizing a risk-based approach. This individual will also assist with the provision of compliance coverage for the Client Experience Office (CXO) in Canada.
This individual will have an opportunity to be a key member and contributor to a small team with a large mandate. Leveraging an existing regulatory compliance management (RCM) program, they are accountable for working with Enterprise Compliance to ensure appropriate activity is taking place within the Corporate Functional Areas with respect to compliance functions such as horizon scanning, regulatory developments, compliance issues management, risk assessments and management, and reporting. Examples of CFA's include Human Resources, Tax, Marketing, Finance, Actuarial, etc.
While the immediate focus for the remainder of the year is building the framework to support the CFA work, once that becomes business as usual focus will shift to enhancing compliance support for the Client Experience Office. This dynamic area supports the Canadian business with key client insights and strategies derived from data and analytics, and digital initiatives to better support our clients. Sustainability and Marketing are also in scope. This area is at the forefront of new ways of working and demands a flexible oversight approach that aligns with an agile approach.
A key component of the role will be to identify opportunities for process improvements or automation.
Initially this role will not have reports. Resourcing will be reassessed as workloads and deliverables are refined.
Key Responsibilities
- Optimization of an RCM program for CFA's in Canada taking a risk-based approach.
- Oversight of key business processes, controls and adherence to regulatory requirements and internal policies.
- Establish and maintain effective working relationships with business areas, compliance, audit, legal, and regulatory staff.
- Develop, document, and actively communicate existing, new, and amended Compliance requirements to management.
- Assist management to identify, address and integrate regulatory requirements into its business activities.
- Establish and maintain procedures to assess compliance by the business with applicable laws and regulations.
- Report on compliance programs, emerging and potential risks, control weaknesses, significant issues, and key regulatory developments.
- Assess the adequacy of adherence to and effectiveness of controls to ensure they are sufficiently robust to achieve compliance with applicable regulatory requirements.
- Actively ensure compliance with regulatory, industry, and best practices expectations for Compliance functions.
- Effectively challenge the business.
- Identify opportunities for process improvements or opportunities for automation.
Requirements
- University degree and/or relevant experience.
- Solid understanding of RCM programs in a financial institution setting.
- Knowledge of key operational supporting functions and applicable regulatory rules.
- Ability to distill complex requirements without oversimplifying or missing critical components.
- Experience in the build, management, and administration of a compliance program.
- Excellent oral and written communication skills with demonstrated relationship management and conflict resolution skills.
- Ability to effectively prioritize in a diverse and fast-paced environment.
- Ability to work with ambiguity.
- Previous experience in a large institution with a matrix organizational structure an asset.
- French is an asset.
What's in it for you
- Being a member of the Sun Life Financial family, a group of people united by our Purpose: to help Clients and Employees achieve lifetime financial security and live healthier lives.
- We are proud to be on the list of Best Workplaces in Canada.
- We're also listed as one of the Best Workplaces for Women and Best Workplaces with Most Trusted Executive Teams.
- Our unique Sabbatical Program gives you the opportunity to take up to 6 weeks off, every five years.
- Care Days available for self-care or care of others (i.e., family or others you may support) and Sick Days to support your well-being.
Sun Life Financial is committed to diversity and inclusion. A diverse workforce with wide perspectives and creative ideas benefits our clients, the communities where we operate and all of us as colleagues. We welcome applications from qualified individuals from all backgrounds.
