Compliance Manager reviewing broker - dealer and registered investment adviser communications for regulatory compliance. Working collaboratively with diverse business partners in a hybrid work environment.
About the role
- Compliance Analyst supporting Financial Crimes and Privacy Programs at Sun Life. Engaging in compliance activities and ensuring adherence to regulatory standards.
Responsibilities
- Provides direct support of compliance controls within the Financial Crimes Program and the Privacy Program
- Maintains required documentation in support of control performance, including as relates to escalation, review, and challenge
- Conducts routine transactional activities and administration of Compliance Programs (e.g., AML alert monitoring, privacy incident review, privacy impact assessments, etc.)
- Participates, under supervision, in annual compliance risk assessments and monitoring and testing of existing procedures and controls
- Maintains familiarity with company risk management policies and procedures
- Participates in compliance projects as needed
- Encourage, promote and enhance a culture that supports the Code of Conduct, encourages ethical behavior and a commitment to compliance with applicable laws and regulations
Requirements
- Bachelor’s Degree, professional certificate, or equivalent work experience
- Understanding of compliance practices in Financial Crime and/or Privacy preferred
- Demonstrated ability to work independently and within a team-oriented setting
- Solid logic, problem solving, and analytical skills required
- Agility to adapt to new demands and changes in business priorities
- Strong computer and database skills, including proficiency with Microsoft Office’s suite of tools (Outlook, PowerPoint, Word, Excel, Forms, etc.)
- Demonstrated digital, analytics/technology capabilities, including prompt engineering to support use of AI
Benefits
- Generous vacation and sick time
- Market-leading paid family, parental and adoption leave
- Medical coverage
- Company paid life and AD&D insurance
- Disability programs
- Partially paid sabbatical program
- 401(k) employer match
- Stock purchase options
- Employer-funded retirement account
- Flexible, inclusive and collaborative work environment
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