Description

SLC Management is a growing global asset management firm providing innovative and diversified investment solutions to institutional investors. We are breaking new ground with a full spectrum of solutions for a growing institutional client base of more than 1300 organizations. Our history of organic and strategic growth reflects this commitment with over CA$335/US$260 billion in assets under management (AUM). As a subsidiary of Sun Life, we are aligned with one of the world's leading financial services companies, and benefit from the stability and strength of that relationship. 

We are a performance-driven organization with a deliberate focus on fostering a development-focused, inclusive culture revolving around our Core Values of being client obsessed, valuing each other, acting with speed and having an owner's mindset.  As part of our team, you play a role in fulfilling our purpose and making a difference. We offer a rewarding work environment that is filled with opportunity for growth where you will be empowered to meet the challenges of a highly competitive landscape.

Visit our website to learn more and for the most up to date AUM information.

Hybrid Work Model

SLC Management operates in a hybrid environment with a mix of in-office and virtual work where our employees are empowered to do their best. Generally, employees are expected to work two-three days in-office each week with flexibility depending on their business, client and team needs.

Senior Director, Compliance - SLC Management

WHAT IS IN IT FOR YOU:

We are seeking a Senior Director, Compliance to be part of our dynamic compliance team. Reporting to the Managing Director, Compliance, SLC Management. The Senior Director, Compliance will support the registered investment advisor compliance program.    

WHAT YOU WILL DO:

• Support the Registered Investment Adviser Compliance Program functions.
• Categories of registration include:
  U.S. SEC: Registered Investment Advisor
  OSC: Portfolio Manager, Investment Fund Manager, Exempt Market Dealer, Commodity Trading Manager.
• Compliance programs would include: Compliance Program management; Compliance Manuals, Policies & Procedures; Monitoring & Testing; AML; Training; Regulatory Filings; Errors & Exceptions; Valuations & Allocations; Vendor Management; Compliance Systems and Technology, and Reporting. 
• Maintain establish standards and implement procedures to ensure that the Investment Advisor compliance program remains effective and efficient in identifying, preventing, detecting, and correcting non-compliance with applicable laws and regulations.
• Support and coordinate efforts related to regulatory reviews, exams, inquires, and audits.
• Support and coordinate efforts related to regulatory filings.
• Work with various teams and cross departments (including Sales, Distribution & Business Development, Client Relationships, Marketing, Finance, Operations, and Legal) to support investment management activities from a compliance perspective.
• Understanding of regulatory and self-regulatory agencies (e.g. U.S. SEC, OSC) and applicable laws and regulations. Knowledge and experience with industry best practices in compliance management.
• Communicate compliance issues and trends, prepare compliance reports to management.
• Identify areas of potential compliance risk and vulnerability; manage and drive effective resolution, reporting updates to management.
• Act as technical advisor and support business initiatives from a compliance perspective.
• Manage and support investment advisor compliance process operations

WHAT YOU WILL NEED TO SUCCEED:

• Degree in Business, Finance, Economics, or related field
• CFA (or similar) designation, IACCP, ACAMS, Industry Exams & Courses (e.g. FINRA, CSI) are a plus
• 8+ years relevant experience in asset management compliance
• Ability to navigate in a complex, matrix organization
• Excellent interpersonal, communication, change management, and influencing skills, and a team player mindset
• Demonstrate ability to make recommendations to management and influence business decisions based on thorough analysis
• Ability to translate strategic direction from leader into tactical plans; implements tactical plans; provides input to strategic plans; and champions the development of departmental goals and objectives
• Experience in the financial services industry with an understanding of operational management practices and objectives including accountabilities, approaches to problem solving, industry trends and best practice

Why SLC Management?

• Opportunity to work for a growing global institutional asset manager
• 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 hybrid work environment with a friendly, caring, collaborative and inclusive culture focused on career growth development #WeWinAsATeam
• The opportunity to move along a variety of career paths with amazing networking potential
• Award winning workplace culture - Great Place to Work® Certified in Canada and the U.S., "Best Places to Work in Money Management" by Pension & Investments, "Top 10" employer by the Boston Globe's "Top Places to Work" two years running

SLC Management is a regulated business, and this means that there are certain financial reporting and trading preclearance requirements for all employees. Successful candidates will be required to declare personal investment accounts and securities investments as well as seek preclearance on future transactions including those of household members.

We consider various factors in determining actual pay including your skills, qualifications, and experience.  In addition to salary, this position is eligible for incentive awards based on individual and business performance as well as a broad range of competitive benefits.

We are committed to fostering a diverse, equitable and inclusive environment, where all employees feel valued, respected, and supported.  We are dedicated to building a diverse workforce offering wide perspectives and creative ideas that benefit our clients, teams and the communities where we operate. We welcome applications from qualified individuals from all backgrounds. Research shows that women and underrepresented groups tend to apply only if they meet 100% of the criteria. We encourage women, people of color and those in LGBTQ+ communities to apply even if they don't meet every criteria in the job description.

We will make reasonable accommodations to known physical or mental limitations. 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 thank all applicants for showing an interest in this position. Only those selected for an interview will be contacted.

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.

For applicants residing in California, please read our employee California Privacy Policy and Notice.