Manager, Compliance

Sun Life Financial; Toronto; On-site; CAD 78,000 - 128,000; Full time

Job summary

An established industry player is seeking a Compliance Manager to join their dynamic team. In this pivotal role, you will ensure that all business activities meet regulatory requirements while providing compliance advice and oversight. You will prepare reports, lead registration activities, and support regulatory inquiries, all while fostering a culture of compliance within the organization. This role offers the chance to make a significant impact in the lives of clients and communities, and provides opportunities for professional growth and networking. Join a company recognized for its commitment to employee well-being and an inclusive work environment.

Benefits

Flexible Benefits

Career development opportunities

Inclusive work environment

Recognition as a Best Workplace

Mental Health at Work certification

Qualifications

• Extensive compliance experience in the securities industry is essential.
• Post-secondary education and completion of CSC and CPH preferred.

Responsibilities

• Prepare compliance reports and support regulatory reviews.
• Lead registration activities and compliance policy updates.

Skills

Compliance experience

Interpersonal skills

Negotiation skills

Strategic thinking

Problem solving

Business writing skills

Education

Post-secondary education

Canadian Securities Course (CSC)

Conduct and Practices Handbook Course (CPH)

Tools

Microsoft Excel

Tableau

Job description

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:

The Manager of Compliance reports to the Director of Compliance for SLGI Asset Management Inc. and will join a motivated, results oriented and dynamic Compliance team. In this role, you’ll support the second line of defense compliance function to ensure all business activities as an Investment Fund Manager, Portfolio Manager and Exempt Market Dealer meet all governing regulatory requirements and internal policies.

What will you do?

• Preparing Chief Compliance Officer (CCO) report informing on overall health of compliance for effective regulatory risk management. Act as compliance lead on preparing or providing information for other compliance memos or reports as required.

• Lead the Registration Program activities including but not limited to registrations, terminations and update of registrant’s information with the regulators.

• Support and coordinate CCO responses to regulatory reviews, inquiries and surveys from the Ontario Securities Commission and other regulators. This includes collecting responses from business partners and support the preparation and review of responses.

• Support the regulatory changes management process through preparation and communication of interpretation summaries and effectively oversee the development and implementation of action plans.

• Act as compliance reviewer to assigned Business Process Reviews and Privacy Impact Assessments.

• Provide compliance advice and challenge to key elements of the Regulatory Compliance Management (RCM) Program such as controls assessments and compliance monitoring activities.

• Review regulatory documents like Simplified Prospectus, Annual Information Form, Fund Facts, and Management Report on Fund Performance for compliance.

• Assist in compliance policy updates and preparation of training materials.

• Act as a backup to the Director of Compliance and other compliance team members and assist in other duties as assigned.

What do you need to succeed?

• Extensive compliance experience working in the securities industry for an Investment Fund Manager, Portfolio Manager and/or Exempt Market Dealer.

• Post-secondary education required and preferably completed Canadian Securities Course (CSC) and Conduct and Practices Handbook Course (CPH).

• Exceptional interpersonal skills and ability to negotiate at all levels of the organization. Fluent communication and business writing skills in English are required.

• Proficient in Microsoft applications with advanced Excel skills. Familiarity with Tableau an asset.

• Robust strategic thinking and problem solving skills with ability to identify key messages, trends and process improvements.

• Ability to work independently as well as in a team and manage multiple priorities and timelines.

What's in it for you?

• The opportunity to move along a variety of career paths with amazing networking potential.

• Flexible Benefits from the day you join to meet the needs of you and your family.

• We’re committed to creating an inclusive and respectful environment. Our goal is to make sure all our employees have the chance to live up to their full potential.

• We’re honoured to be recognized as a 2023 Best Workplaces in Ontario by Great Place to Work Canada.

• We are thrilled to be recognized by Excellence Canada with their top-level certification, the Canada Order of Excellence for Mental Health at Work, for prioritizing employee well-being, fostering a positive work culture, and achieving excellence in mental health.

Salary Range: 78,000 - 128,000

Job Category: Compliance

Posting End Date: 13/04/2025