Manager, Investment Compliance

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Job Description:

Role – The incumbent will work closely with Business Partners in Ethics Office, Sun Life Enterprise Asset Management at North America to help in data reconciliation, analysis and administration of the Global Ethics program.

Skills/Capabilities –

• Ability to understand process and compliance aspects around global financial securities
• Strong understanding of compliance monitoring systems – Code of Ethics system, experience with ACA ComplianceAlpha will be an asset
• Analytical ability to evaluate data trends and performance
• Proficient on MS Excel and MS Word
• Ability to learn via remote trainings and effectively deliver the same
• Decision making ability supported with data
• Able to manage multiple priorities and conflicting deadlines
• Exhibit people management and leadership skills
• Demonstrate problem solving and conflict resolution abilities
• Excellent written/oral communication skills [we need the strong written and oral communication skills)
• Ability to “think on your feet”
• Excellent Presentation and interpersonal skills
• Analytical with high attention to details
• Proactive and Customer service focus

Responsibilities –

• Perform data reconciliations to ensure compliance with the Code of Ethics.
• Provide support to meet our ongoing regulatory obligations and internal policy requirements around the Code of Ethics.
• Assist in the day-to-day administration of the Code of Ethics.
• Prepare monthly and quarterly reports to show key trends on employee practices covered under the Code of Ethics.
• Regularly review and monitor items of interests that flag in our system to determine potential conflicts.
• Uphold established procedures, support updates to procedures as required tasks related to Code of Ethics.

• Support projects/initiatives as needed in the advancement of the global ethics program.; may perform activities across different jurisdictions based on needs/requirements.

Education and Experience

• Full time MBA (Finance) and or Graduate degree in Commerce
• Around 6 - 10 years of experience in Investment Compliance domain – Code Of Ethics (preferred), Monitoring and Data Analysis
• Sound knowledge in Microsoft Excel with ability to build formulas and macros

Job Category:

Investments

Posting End Date:

27/10/2024