Compliance Leader, GRS Business

3 weeks 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:

  • Developing and leading an effective team to provide compliance oversight, support, and guidance to the business
  • Working 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
  • Working with teams accountable for analytics and testing to ensure appropriate, ongoing compliance verification
  • Escalation of compliance matters as appropriate
  • Preparation of quarterly compliance memos, and ad hoc reporting;
  • Development of Key Risk Indicators (KRIs), analysis of trends,
  • Prioritizing issues and applying appropriate resources to execute on compliance initiatives and projects
  • Active participation on various business groups (such as Risk Committees, Business Practice Review discussions, product development discussions, etc.) to provide compliance advice and support, and to ensure compliant outcomes
  • Generally, assisting the Business Unit Compliance Officer (BUCO) in fulfilling the mandate outlined in Sun Life's Regulatory Compliance Management Policy and Operating Guideline, including:
    • Promotion of compliance awareness to business unit employees to reduce compliance risk
    • Provision of quality reporting on compliance matters
    • Contact with regulators with respect to compliance related matters
    • Overseeing that compliance risks are identified and managed in the business unit
    • Assisting the business unit in establishing processes to provide and document adequate internal controls and monitoring procedures to assess ongoing compliance with compliance requirements and mitigation of compliance risks
  • 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 and ability to interact with all levels in the organization
  • 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 are required
  • 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.

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