Lead asset management compliance operations at SLC Management, coordinating regulatory filings, governance, and program administration across jurisdictions. This hybrid work model expects three or more office days weekly. As Director, Compliance, you will support execution and enhancement of the Asset Management Compliance Program. The position requires regulatory knowledge, project management capabilities, and operational expertise. You will coordinate compliance processes, regulatory obligations, strategic initiatives, and governance activities across SLC Management. Key Responsibilities:
Administer registered investment adviser compliance programs across jurisdictions Coordinate Form ADV, Form PF, NFA, OSC, and FCA filings Maintain policies, procedures, inventories, calendars, and evidence repositories Support audits, examinations, remediation, and system implementation projects Prepare dashboards, trend analysis, and governance committee materials Requirements:
Bachelor’s degree in business, finance, economics, law, or related discipline Seven or more years of asset management or compliance experience Understanding of investment adviser regulations and compliance frameworks Experience supporting filings, governance programs, audits, and compliance operations Strong project management, analytical, organizational, and communication skills Apply regulatory expertise, operational discipline, and project management skills to strengthen SLC Management’s global compliance framework.
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Asset Management Compliance Director in Toronto employer: Sun Life
Sun Life is an exceptional employer that fosters a collaborative and innovative work culture, making it an ideal place for a Product Owner to thrive. With a strong focus on employee growth, you will have access to continuous learning opportunities and the chance to work alongside talented professionals in a hybrid environment that promotes work-life balance. Located in a vibrant city, Sun Life offers unique advantages such as competitive benefits and a commitment to enhancing the digital experience for Advisors and Firms, ensuring your contributions are meaningful and impactful.
