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About the Role

The Director, Compliance supports the execution and enhancement of the Asset Management Compliance Program through operational oversight, regulatory program administration, project management, and governance activities. This role is responsible for coordinating key compliance processes, supporting regulatory obligations, managing strategic initiatives, and partnering across the organization to maintain an effective compliance framework.

Responsibilities

Support administration of the registered investment adviser compliance program across multiple jurisdictions.
Maintain compliance policies, procedures, inventories, governance documentation, and evidence repositories.
Coordinate annual compliance reviews and risk assessments.
Manage day-to-day execution of regulatory filing requirements, including collection, validation, and coordination of information.
Support preparation and submission of Form ADV, Form PF, NFA, OSC, FCA, and other regulatory filings.
Maintain filing calendars and regulatory obligation tracking.
Administer compliance operational processes, including regulatory attestations and certifications, compliance training programs, errors and exception tracking, vendor due diligence and oversight, and compliance recordkeeping.
Monitor operational controls and escalate issues as appropriate.
Support workstreams associated with audits, examinations, remediation plans, and compliance enhancement initiatives.
Support system implementations, automation efforts, and process improvement projects.
Track project milestones, deliverables, and stakeholder communications.
Prepare compliance dashboards, metrics, trend analysis, and management reporting.
Identify emerging risks and compliance issues through ongoing monitoring activities.
Develop materials for governance committees and senior management updates.
Partner with Legal, Operations, Technology, Finance, Distribution, and investment teams to support compliance initiatives.
Act as a resource for compliance operational inquiries and implementation of new regulatory requirements.
Assist in the development of practical compliance solutions for business initiatives.

Requirements

Bachelor’s degree in Business, Finance, Economics, Law, or related discipline.
7+ years of asset management and/or compliance experience.
Strong understanding of investment adviser regulatory requirements and compliance frameworks.
Experience supporting regulatory filings, governance programs, audits, and compliance operations.
Strong project management, analytical, and organizational skills.
Experience with compliance technology platforms, workflow management tools, and reporting solutions.
Excellent written and verbal communication skills.
Ability to manage multiple priorities in a fast-paced environment while maintaining attention to detail.
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.

Skills

Project management
Analytical skills
Organizational skills
Written communication skills
Verbal communication skills

Location

Remote
In-office

Work Type

Hybrid
Full-time

Experience Level

7+ years

Education Level

Bachelor's degree

Salary/Compensations

130,000 - 180,000

Benefits

Generous vacation and sick time
Market-leading maternity, parental and adoption leave top up program
Partially-paid sabbatical program
Pension, stock and savings programs with an employer-paid match
Wellness programs

About the Company

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 1400 organizations.
Our history of organic and strategic growth reflects this commitment with over CA$422/US$304 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.

Equal Opportunity

We are committed to fostering an inclusive environment where all employees feel they belong, are supported and empowered to thrive.
We are dedicated to building teams with varied experiences, backgrounds perspectives and ideas that benefit our colleagues, clients, and the communities where we operate.
We encourage applications from qualified individuals from all backgrounds.
We may use artificial intelligence to support candidate sourcing, screening, interview scheduling.
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.