Manager, Enterprise Asset Management Compliance

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.
Job Description:
Location: We support US flexible working arrangements in the contiguous 48 states. This role is hybrid and require days at the Wellesley, MA office.
At Sun Life, we look for optimistic people who want to make life brighter for our Clients. We understand the value of diverse cultures, perspectives, and identities, and want you to bring your full and authentic self to work. Every day, you'll be empowered and challenged by working with dynamic colleagues to find new and innovative ways to make Sun Life the best benefits company in America.
The Opportunity:
The Manager is primarily accountable to the Sun Life Enterprise Asset Management (EAM) Compliance team, a centralized global compliance function within Sun Life Financial.
The Compliance Manager will be a key contributor in the oversight of the compliance programs and related testing for registered investment advisors within Sun Life Capital Management (SLCM), its affiliates, as well as Sun Life Asia.
How you will contribute:

• Perform compliance assessments and policy reviews to attest to the Firm's compliance with regulatory requirements prescribed globally (SEC, OSC, SFC, FCA, OSFI, etc.).
• Testing coverage inclusive of all relevant areas of Asset Management Compliance program (Portfolio Management & Trading, Ethics, Marketing and Distribution, Accuracy of Disclosures, ESG, Valuation, Fees and Expense Allocations, Records Management, etc.).
• Research whitepapers on newly enacted securities regulations, regulatory framework for high-risk business processes/conflicts of interests.
• Research current regulatory enforcements issued to investment advisers and related trends.
• Conduct regulatory exam preparedness exercises, including mock exams.
• When needed, collaborate with Ethics and AML teams for assistance with monitoring and oversight of each respective program.
• When needed, collaborate with local compliance teams on quarterly compliance reporting, regulatory examinations, and ad- hoc investigations into potential misconduct.
• Perform validation testing of regulatory exam and internal audit findings.
• Assist in the integration of the Firm's regulatory compliance management reporting (Archer), as well as other related programs that may arise.
• Prepare related training materials and presentations as requested.

What you will bring with you:

• The candidate should have a positive attitude, ability to work both independently and with a team, and be risk minded.
• 5-8 years work experience in the Asset Management industry. Preferred experience in compliance, risk, or audit with testing internal controls.
• Strong desire to develop business acumen and working knowledge of products offered across SLC and affiliates (public bonds, private placements, commercial mortgages, infrastructure equity, mutual funds/trusts, etc.).
• Strong desire to enhance knowledge of securities regulations globally (i.e., SEC-Investment Advisor Act, SFC-Fund Manager Code of Conduct, OSC Securities Act, etc.).

Do you see yourself in this role even if you haven't checked all the boxes above? We welcome all talented candidates and are committed to a culture that represents diversity in all forms. If you think you might thrive in this setting, we would love to hear from you.
Not ready to apply yet but want to stay in touch? Join our talent community to stay connected until the time is right for you!
Life is brighter when you work at Sun Life

• Excellent benefits and wellness programs to support the three pillars of your well-being - mental, physical and financial - including generous vacation and sick time, market-leading paid family, parental and adoption leave, a partially-paid sabbatical program, medical plans, company paid life and AD&D insurance as well as disability programs and more
• Retirement and Stock Purchase programs to help build and enhance your future financial security including a 401(k) plan with an employer-paid match as well as an employer-funded retirement account
• A flexible work environment with a friendly, caring, collaborative and inclusive culture
• Great Place to Work® Certified in Canada and the U.S.
• Named as a "Top 10" employer by the Boston Globe's "Top Places to Work" two years running

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.
Our Affirmative Action Program affirms our commitment to make reasonable accommodation to the known physical or mental limitation of otherwise-qualified individuals with disabilities or special disabled veterans, unless the accommodation would impose an undue hardship on the operation of our business. Please email recruitingUS@sunlife.com to request an accommodation.
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.
For applicants residing in California, please read our employee California Privacy Policy and Notice.
Job Category:
Compliance
Posting End Date:
04/01/2024
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.