Manager, Compliance

at  Sun Life

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:

This position reports to the AVP, Chief Ethics Officer, Sun Life Enterprise Asset Management Compliance supporting the Ethics Office Compliance Program for Sun Life’s Asset Management Business. The Ethics Office and Code of Ethics is a global program covering US, Canada, UK, and Asia. This position supports the day-to-day operations of the Code of Ethics Program and assisting in the implementation of Ethics Office initiatives.

EDUCATION, EXPERIENCE, QUALIFICATIONS

• Bachelor’s degree in business, finance or related field; or post-secondary education or equivalent work experience. CFA (or similar) designation are a plus
• 3+ years relevant work experience in the investment management industry, specifically within a compliance role or securities registrant firm (US SEC, OSC)
• Knowledge of Code of Ethics program, frameworks, systems (e.g. ACA ComplianceAlpha) and the associated processes

• Support the day-to-day operations of the Code of Ethics Program and associated processes
• Uphold standards of the Code of Ethics policy and procedures across the firm; and implement procedures to ensure the Code of Ethics program and oversight remain effective and efficient in identifying, preventing, detecting, and correcting non-compliance with applicable laws, regulations, policy, and conduct
• Administer the Code program components, including: personal trading pre-clearance and disclosure requirements; maintenance of access persons and restricted lists; outside activities; ensure accurate reconciliation of brokerage statements and trading activities; ensure completion of attestations and records
• Identifies Code and potential personal trading issues, investigating these to remediation
• Communicate compliance issues and trends; prepare reports, metrics and trends for management; prepare reports and documentation associated with the administration of the Code program (e.g. Notice of Violations, Certifications)
• Support and coordinate efforts related to audits, reviews, and examinations
• Support development and deployment of training materials and program
• Support and coordinate efforts on department projects and initiatives
• Support different work hours and holidays are required due to nature of global program