Senior Director, Distribution Compliance - SLC Management

at  SLC Management

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. 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.
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WHAT IS IN IT FOR YOU:

We are seeking a Senior Director, Distribution Compliance to be part of our dynamic compliance team. Reporting directly to the Managing Director of Distribution Compliance, this position will be a leading contributor to the distribution compliance team which supports a global distribution model across our RIAs and US broker-dealer.

JOB CATEGORY:

Compliance
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.
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• Key contributing member of the distribution compliance team.
• Conduct the review and approval of marketing collateral (including advertising materials, investor communications and general distribution activities) to identify, manage and assess both regulatory and reputational risk.
• Partner and work seamlessly with various teams and departments including Sales, Distribution & Business Development, Client Relationships, Performance, Marketing, and Legal in establishing and maintaining an effective culture of compliance across distribution practices.
• Provide important compliance guidance in the design of innovative marketing initiatives and strategies.
• Ability to deeply understand business strategy, articulate regulatory requirements, and influence compliant outcomes.
• Support e-communications recordkeeping and surveillance programs, including email, social media, and emerging methods of business communications.
• Create, distribute, and maintain educational resources, libraries, and trainings as necessary.
• Deliver high-quality reporting and metrics to Compliance leadership, proactively monitoring for trends and potential risk areas.
• Responsible for the detection, prevention, and escalation of non-compliance with applicable laws and regulations across broker-dealer and investment advisor activities.
• Continuously assess current processes to create new and updated compliance practices, facilitating program improvement.
• Manage and provide compliance oversight of program enabling employees to engage with the media on behalf of the company.
• Provide guidance to the Sales and Marketing teams on ad-hoc projects and new business initiatives, such as product launches.
• Coordinate efforts related to sweep reviews, audits and examinations, and fulfill other continuous regulatory obligations related to investment adviser and /or broker dealer activities.
• Ability to stay apprised of US and Canadian regulatory changes (e.g., FINRA, SEC, OSC and OSFI) and put into effect necessary updates.
• Assist broader compliance team on projects as needed.