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 1400 organizations. Our history of organic and strategic growth reflects this commitment with over CA$387/US$286 billion in assets under management (AUM). 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.

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

Job Description:

WHAT IS IN IT FOR YOU:

The Senior Director, Compliance will play a critical leadership role in supporting and enhancing the registered investment advisor compliance program. This role is pivotal in ensuring regulatory adherence, operational excellence, and strategic alignment across the organization. The successful candidate will collaborate cross-functionally and drive innovation in compliance practices to meet evolving industry standards.

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.

• Monitor and report on changing regulatory requirements, partner with business colleagues to implement best practices to ensure compliance with new regulations and test the operating effectiveness.

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

• Bachelor’s degree in Business, Finance, Economics, or related field; advanced degrees or certifications (CFA, IACCP, ACAMS) are highly valued.

• Minimum 8 years of experience in asset management compliance, preferably in a global or matrixed organization.

• Strong knowledge of regulatory frameworks (U.S. SEC: Investment Advisers Act of 1940, Investment Company Act of 1940; OSC) and industry best practices.

• Excellent interpersonal, communication, change management, and influencing skills,