Compliance Manager Jobs

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About the role:
The Compliance Manager is a key contributor to the success of the Canada Compliance Monitoring and Testing (M&T) program. As an essential element of Sun Life’s Regulatory Compliance Management (RCM) Framework, Monitoring and Testing provides insight into the effectiveness of the organization’s control environment. As the Compliance Manager, you will utilize your strong testing and auditing skills to execute testing specific to regulatory risks performed by the Canada lines of business, and develop and implement enhancements related to test planning, execution, reporting and the use of data and technology. In addition, the Compliance Manager will collaborate closely with leaders and subject matter experts across the first and second lines of defense to lead compliance testing engagements.
Reporting to the Director, Canada Compliance Programs & Governance, the Compliance Manager will gain exposure into all business products, operations, and distribution channels across Sun Life Canada. Overall success is measured by timely completion of testing engagements and monitoring activities, the quality of work performed, and the identification and risk-rating of key process and control gaps identified.
What will you do?

• Prepare a written report outlining the scope, findings, and recommendations of the testing engagement and distribute it to the appropriate levels of management
• Plan individual testing engagements and contribute to the development of the overall annual test plan
• Summarize and communicate test results to business leadership to ensure their understanding of the materiality of issues and agreed actions which address the issues identified
• Undertake independent testing engagements in accordance with the agreed Compliance Test Plan while assessing the effectiveness of key controls across various business units and ensuring adherence with regulatory requirements
• Assist with special projects as required
• Follow through on reviews and assessments to influence managers to enhance processes and controls that better ensure the delivery of intended business and regulatory outcomes, including compliance with specific regulatory requirements
• Ensure appropriate planning, testing, and working papers are retained and filed

What do you need to succeed?

• 5 years of experience in financial services, internal/external audit, and/or regulatory compliance, with an understanding of regulatory compliance principles as they apply to financial services
• Demonstrated experience and knowledge of Regulatory Compliance Management framework components and linkages, with a focus on Monitoring & Testing
• Post-secondary education in Finance, Accounting, or another relevant field
• Excellent verbal and written communication skills, with a knack for building and maintaining positive work relationships across the organization while working in a team environment
• Analytical thinker with strong conceptual and problem-solving skills
• Organized and detail-oriented with the ability to make sound judgments
• Self-motivated and driven to independently maintain and develop knowledge and skills

What's in it for you?

• Wellness programs that support the three pillars of your health – mental, physical and financial
• 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
• An environment of continuous learning and improvement
• Hybrid work environment
• 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
• Flexible Benefits from the day you join to meet the needs of you and your family
• We are honoured to be recognized as a 2022 Best Workplaces in Canada by Great Place to Work® Canada
• 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

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:
74,100/74 100 - 120,800/120 800
Job Category:
Compliance
Posting End Date:
21/06/2023