City : Waterloo

Category : Full-time

Industry : Finance

Employer : Sun Life Financial

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:

About the role:

The SLGI Compliance Manager reports to the Director and Deputy Chief Compliance Officer 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 for SLGI Asset Management Inc. (SLGI), registered as an Investment Fund Manager, Portfolio Manager and Exempt Market Dealer meet all governing regulatory requirements and internal policies.

What will you do?

• Assist with the administration of the Independent Review Committee (IRC) and required reporting. Responsibilities include but not are limited to collecting and reviewing supporting information from various functional groups, drafting reporting materials for the IRC’s review, and assisting with the coordination and management of IRC meetings.
• Administer Personal Trading Program activities such as onboarding and training Access Persons, monitoring pre-clearance requests and brokerage account statement review, preparing quarterly reports and addressing system related inquiries.
• Manage SLGI’s Compliance Training Program by developing and updating content, preparing communications for employees, tracking completion and attestations, preparing reports, evaluating training platforms options and recommending process improvements.
• Support and coordinate compliance responses to due diligence questionnaires, requests for information, compliance certificates and AML reporting requirements.
• Contribute to the optimization of compliance processes by investigating, recommending and implementing digital enhancements that increase efficiency within the compliance program.
• Participate in updating compliance policy updates and maintaining the Compliance Manual.
• Maintain and enhance SLGI Compliance SharePoint sites (internal and employee facing).
• Document updates to operating procedures for various compliance programs.
• Serve 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?

• 7+ years of compliance experience working in the securities industry for an Investment Fund Manager, Portfolio Manager and/or Exempt Market Dealer.
• Post-secondary education required
• 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 (proficiency with Pivot Tables and V-look ups)
• Experience maintaining and updating SharePoint
• 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.

Preferred Skills:

• (CSC) and Conduct and Practices Handbook Course (CPH).

What's in it for you?

• Hybrid work environment
• A friendly, collaborative, and inclusive culture
• 20 vacation days per year
• Flexible Benefits from the day you join to meet the needs of you and your family
• Pension, stock and savings programs to help build and enhance your future financial security
• The opportunity to move along a variety of career paths with amazing networking potential
• Access to our Global Learning Centre, available 24/7 for your learning needs
• Wellness programs that support the three pillars of your health – mental, physical and financial

Recent Awards:

• We are honoured to be recognized as a 2022, 2023, 2024 and 2025 Best Workplaces in Canada by Great Place to Work® Canada
• Great Place to Work® list for Best Workplaces for #HybridWork 2022
• Great Place to Work® list for Best Workplaces for Professional Development in Canada 2022
• Named “Best Places to Work” by Glassdoor, 2021 and 2023

The Base Pay range is for the primary location for which the job is posted. It may vary depending on the work location of the successful candidate or other factors. In addition to Base Pay, eligible Sun Life employees participate in various incentive plans, payment under which is discretionary and subject to individual and company performance. Certain sales focused roles have sales incentive plans based on individual or group sales results.  

Diversity and inclusion have always been at the core of our values at Sun Life. 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.

Persons with disabilities who need accommodation in the application process, or those needing job postings in an alternative format, may e-mail a request to thebrightside@sunlife.com.

We are proud to be a hybrid organization that offers our employees the choice and flexibility to work from both the office and virtually based on the needs of the business, our Clients and you! Several work options are available and can be discussed throughout the selection process depending on the role requirements and individual needs.

We thank all applicants for showing an interest in this position. Only those selected for an interview will be contacted.

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