Senior Director, Compliance - SLC Management

Senior Director, Compliance

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$387 / US$286 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.

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

What Is In It For You

The Senior Director, Compliance will play a critical leadership role in supporting and enhancing the registered investment advisor compliance program. This role is pivotal in ensuring regulatory adherence, operational excellence, and strategic alignment across the organization. The successful candidate will collaborate cross-functionally and drive innovation in compliance practices to meet evolving industry standards.

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.
• Monitor and report on changing regulatory requirements, partner with business colleagues to implement best practices to ensure compliance with new regulations and test the operating effectiveness.
• Support and coordinate efforts related to regulatory reviews, exams, inquiries, 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

For US based applicants the base salary range is $151K-226K.

For CA based applicants the base salary range is $124-173K.

Why SLC Management?

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 are committed to pay transparency and equity. The base salary range for this role is competitive and we strive to ensure that compensation is fair and equitable. Your actual base salary will be determined by your unique skills, qualifications, experience, education, and geographic location. In addition to base salary, this position is eligible for a discretionary annual incentive award based on individual and overall business performance along with a broad range of competitive benefits.

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 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. We do not require or administer lie detector tests as a condition of employment or continued employment.