Compliance Analyst Jobs

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About the role:
Sun Life Global Investments Compliance is looking for a Compliance Analyst to join their dynamic team, reporting to the Director, SLGI Compliance. The individual will provide analytical and administrative support for the SLGI Compliance Program and will work closely with the Sun Life Global Investments business unit, Canada’s Risk Centre of Excellence (Risk CoE), peers and leadership in Canada Compliance and Enterprise Compliance, among others.
The incumbent will need familiarity with the securities regulated activities of SLGI Asset Management Inc. (SLGI), an investment fund manager, portfolio manager, mutual fund dealer and commodity trading manager firm. Experience working in an asset management Compliance function within a large, federally regulated financial institution is an asset.
What will you do?

• Coordinating Personal Trading Policy reviews, annually and as needed
• Supports the RCM Policy framework for SLGI by coordinating the timely review of any subsidiary Compliance Policies and Operating Guidelines.
• Preparing quarterly and ad hoc reporting
• Maintaining operational procedures
• Investigating possible Policy violations, escalation of any concerns identified
• Day-to-day responsibility for StarCompliance
• Administers SLGI’s Personal Trading Policy, including but not limited to:
• Maintains and enhances the SLGI Compliance SharePoint site.
• Coordinates SLGI’s Annual General Compliance Training cycle, including developing and updating content, coordinating translation, preparing communications, tracking completion and attestations, preparing reporting. Participates in the investigation of training platform options and recommends process improvements.
• Monitoring of brokerage account statement activity
• Conducting trade reviews and documenting support
• Assists with the overall CCO Report process, recommending and implementing enhancements such as automating the collection and validation of data, deepening insights with trends and visual elements, improving efficiency, consistency and overall design. Works with Risk CoE, other Canadian BUCO Teams and Enterprise Compliance partners to ensure consistent reporting of compliance risk.
• Monitors regulatory change applicable to SLGI and coordinates approach with broader SLGI Compliance team.
• Onboarding new Access Persons
• Supporting New Access Person and Annual Refresher training content and delivery
• Coordinates Compliance responses to due diligence questionnaires, requests for information, and compliance certificates.
• Supports the timely and accurate preparation of quarterly Chief Compliance Officer report for SLGI Asset Management Inc. (the CCO Report), validation and reconciliation of applicable metrics using Sun Life’s Governance, Risk and Compliance (GRC) tool, RSA Archer, including development of queries, reports, iViews, etc. Gathers inputs and populates established CCO Report template, coordinating Director and CCO reviews.
• Maintains current and accurate information on SLGI and its registered individuals, including quarterly confirmations and updating of information in NRD/SEDAR+, OBSI regulatory filings.

What do you need to succeed?

• Ability to identify problem areas and propose changes
• Ability to build strong working relationships with Business Unit partners, Compliance colleagues and leadership
• Results driven and goal oriented with a strong sense of ownership and accountability
• Ability to manage and prioritize high work volumes during peak periods (annual planning, quarterly reporting cycles, etc.)
• Experience using SharePoint and OneNote
• Proficiency with Microsoft tools, including PowerPoint and Excel
• Completed the Canadian Securities Course (CSC)
• College diploma or University degree with 3-6 years of experience or an equivalent combination of education and experience
• Excellent analytical skills (planning, quantitative skills, attention to detail and quality standards)
• Effective written and verbal communication skills

Preferred Skills:

• Knowledge of SLGI Asset Management Inc. product offering and categories of registration
• Experience working in the asset management compliance function within a federally regulated financial institution
• Solid understanding of the Regulatory Compliance Management (RCM) lifecycle and program elements

What's in it for you?

• Access to our Global Learning Centre, available 24/7 for your learning needs
• The opportunity to move along a variety of career paths with amazing networking potential
• Wellness programs that support the three pillars of your health – mental, physical and financial
• Flexible Benefits from the day you join to meet the needs of you and your family
• Being a member of the Sun Life family, a group of people united by our Purpose: to help Clients and Employees achieve lifetime financial security and live healthier lives
• An environment of continuous learning and improvement
• Work-life balance by scheduling your day around your priorities and having more time to spend on the important things
• A friendly, collaborative, and inclusive culture

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 [email protected].
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.
We thank all applicants for showing an interest in this position. Only those selected for an interview will be contacted.
Salary Range:
53,300/53 300 - 86,300/86 300
Job Category:
Compliance
Posting End Date:
19/06/2023