Senior Director, Compliance - SLC Management

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 1300 organizations. 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.

Visit our website to learn more and for the most up to date AUM information.

Hybrid Work Model

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

Job Description:

Senior Director, Compliance - SLC Management

WHAT IS IN IT FOR YOU:

We are seeking a Senior Director, Compliance to be part of our dynamic compliance team. Reporting to the Managing Director, Compliance, SLC Management. The Senior Director, Compliance will support the registered investment advisor compliance program.    

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.
• Support and coordinate efforts related to regulatory reviews, exams, inquires, 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:

• Degree in Business, Finance, Economics, or related field
• CFA (or similar) designation, IACCP, ACAMS, Industry Exams & Courses (e.g. FINRA, CSI) are a plus
• 8+ years relevant experience to include asset management compliance
• Ability to navigate in a complex, matrix organization
• Excellent interpersonal, communication, change management, and influencing skills, and a team player mindset
• Demonstrate ability to make recommendations to management and influence business decisions based on thorough analysis
• Ability to translate strategic direction from leader into tactical plans; implements tactical plans; provides input to strategic plans; and champions the development of departmental goals and objectives
• 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

For roles based in NY, the salary range for this position is $143.7k - $215.6k annually.  

We consider various factors in determining actual pay including y