Senior Manager, Compliance, Asia Asset Management

You are as unique as your background, experience and point of view. Here, you'll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you'll have new and exciting opportunities to make life brighter for our Clients - who are at the heart of everything we do. Discover how you can make a difference in the lives of individuals, families and communities around the world.

Job Description:

We are seeking a Senior Manager, Compliance, Asia Asset Management to be part of our dynamic compliance team. Reporting to the Director, Compliance, Asia Asset Management. This role will support the regional Asia Asset Management compliance team as well as SFC licensed corporation, Sun Life Investment Management Asia Limited (SLIMA) compliance team.

Major accountabilities

• Support the implementation and ongoing enhancement of the compliance program for Sun Life Investment Management Asia Limited by establishing, maintaining and improving compliance standards, controls, policies and procedures to promote compliance with applicable laws, regulations and internal requirements.

• Support regulatory reviews, examinations, inquiries and audits to ensure timely, accurate and well-governed regulatory engagement.

• Manage and coordinate regulatory filings, licensing and registration matters.

• Assess and advise on regulatory developments, new business initiatives, product launches, process changes and other strategic projects by providing practical compliance guidance and supporting implementation of regulatory or policy changes.

• Identify, assess and escalate areas of compliance risk and control weakness, and oversee the tracking, investigation, resolution and reporting of compliance breaches, errors, exceptions and related remediation activities to management.

• Understanding of regulators (e.g. SFC and MPFA), applicable laws and regulations. Knowledge and experience with industry best practices in compliance management.

• Work closely with business, risk, legal, operations, finance, technology and other stakeholders to communicate key compliance issues, trends and recommendation.

• Support compliance reporting, management information and committee materials.

• Support investment advisor compliance process operations including key reporting to management as well as errors tracking and resolution

• Support and deliver compliance training and awareness initiatives, review marketing and external communications materials. ​

Specialized knowledge

• Ability to navigate in a complex, matrix organization

• Excellent interpersonal, communication, change management, and influencing skills, and a team player mindset

• Experience working with, reporting to and communicating with regulators as well as ability to review and interpret regulatory requirements

• Ability to execute programs in a clear and thoughtful manner as well as identifying opportunities for improvement

• Experience in the financial services industry with an understanding of operational management practices and objectives including accountabilities, approaches to problem solving, industry trends and best practice

• Proficiency in Microsoft Office applications, particularly PowerPoint, Word and Excel, with the ability to prepare clear, concise and effective management and committee materials

• Ability to leverage artificial intelligence (AI) tools responsibly and effectively to enhance research, analysis, drafting, reporting and workflow efficiency, in accordance with internal policies and procedures requirements

Problem Solving

• Effectively identify, communicate and escalate compliance matters to management.

• Solutions orientated with strong technical knowledge of regulatory requirements.

• Dynamic and fast-paced problem-solving skills, that leverage all available knowledge required for real-time solutions to business problems that carry actionable regulatory risk.

• Ability to navigate in a complex and matrix organization.

• Excellent interpersonal, communication, change management, and influencing skills, and a team player mindset.

• Demonstrated ability to make recommendations to senior management and influence business decisions based on thorough analysis.

• Experience in the financial services industry with an understanding of operational management practices and objectives including accountabilities, approaches to problem solving, industry trends and best practice

• Self-starter who is proactive, takes initiative to identify and resolve issues, and independently manages projects through to completion

Education & Experience

• Degree in Business, Finance, Accounting or related discipline(s)

• 8+ years relevant experience in asset management compliance

• Excellent verbal and written communication skills, with strong presentation skills

• Ability to work effectively with stakeholders at all levels of the organization, including senior executives.

Job Category:

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