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Job Description:

Job Purpose

Operating within the Sun Life Enterprise Asset Management (EAM) Risk and Compliance team, a centralized Line 2 global compliance function, the role-holder will provide oversight and challenge across the investment management activities and asset management businesses of Sun Life in Asia.

The role will be a key contributor to deliver the Compliance Test Program to provide assurance of the overall effectiveness of the compliance management risk framework and programs, to identify compliance issues and develop improvements.

The role will report to the AVP, Enterprise Asset Management Compliance, Asia and support coordinating other asset management compliance activities within Sun Life, helping to train, develop and motivate those working in asset management compliance in the different business units. 

Major Accountabilties

Compliance Monitoring and Testing – perform compliance testing, monitoring, and surveillance to demonstrate and attest compliance with applicable laws, regulations and in-house policy guidelines.

• Perform compliance testing, thematic reviews and monitoring on key regulatory requirements, issues and relevant areas of asset management compliance programs (Portfolio Management & Trading, Ethics, Marketing and Distribution, Accuracy of Disclosures, ESG, Valuation, Fees and Expense Allocations, Records Management, etc.)
• Conduct regulatory exam preparedness exercises, including mock exams and validation testing of regulatory exam and internal audit findings
• Apply data analytics techniques to perform monitoring and testing to increase scale and depth of analysis and create impactful visualizations
• Document test work and prepare test reports describing testing performed and results
• Identify and offer recommendations resulting from testing, and collaborate with business partners in developing remediation plans to ensure the areas of concern are addressed in a timely manner
• Track the status of outstanding remediation plans and work with business partners to obtain updates, ensure due dates are met, and confirm remediation.
• Build and maintain strong relationships with business partners and Compliance leaders within Asia, Enterprise Asset Management and Enterprise Compliance, to ensure transparent, proper and timely escalation of compliance monitoring and testing matters and compliance risks including proactive evaluation of related controls.
• Collaborate with Compliance, Internal Audit and Risk Management sharing ideas to develop, align on testing consistency or to coordinate testing activities.

Regulatory Compliance Management – Assist Enterprise Asset Management Compliance team to manage regulatory compliance for investment related obligations via RSA Archer platform:

• Research on newly enacted regulations and regulatory enforcements issued to investment advisers and related trends
• Perform and review risk assessments for regulations
• Coordinate and review control documentation and processes, and their effectiveness to address regulatory obligations
• Coordinate and review compliance issues to identify trends
• Prepare related training materials and presentations as requested

Reporting – Assist and prepare timely management reporting and escalation of regulatory and compliance issues

• Assist in the integration of the Firm’s regulatory compliance management reporting (Archer), as well as other related programs that may arise
• Collaborate with local compliance teams on regular compliance reporting, regulatory examinations, and ad- hoc investigations into potential misconduct

Projects – support delivery of compliance initiatives across Local Business Units, Asia Region, and Enterprise Compliance

• When needed, collaborate with Ethics, Fraud, Privacy, and AML teams for assistance with monitoring and oversight of each respective program or other compliance projects

Specialized Skills and Knowledge

Asset Management Risk and Compliance professionals need to work at the pace of the business and understand both business and regulatory requirements and be able to identify the regulatory risks. The role holder needs to be able to advise the business on the design and operation of effective compliance programs and how to embed processes that effectively mitigate regulatory risk.

The role holder will interact with senior investment professionals and business leaders across the region. Strong verbal and written communication skills are needed, the role holder will present ideas clearly, concisely, and persuasively, tailoring message and delivery to different audiences, including ability to present complex concepts into understandable and actionable points.

Broad knowledge of the asset management compliance requirements of at least one leading securities regulator (Hong Kong’s SFC, Singapore’s MAS, Philippines BSP, SEC from United States, OSFI & OSC for Canada, etc.).  Ideally deep technical knowledge of a specific investment compliance discipline, for example portfolio monitoring and investment compliance, or forensic testing. 

• 5-8 years’ work experience in asset management industry in a compliance, risk, or audit with testing internal controls capacity is preferred
• Strong desire to develop business acumen and working knowledge of products offered across Sun Life Asia Asset Management public fixed income, private assets, common stock, mutual funds/trusts, etc.)
• Strong desire to enhance knowledge of securities regulations globally (i.e., SEC-Investment Advisor Act, SFC-Fund Manager Code of Conduct, OSC Securities Act, etc.)

Education, Qualifications and Experience

• Bachelor's degree in Accounting, Finance, Law or any relevant fields
• Advanced degree and/or professional certification (i.e., CFA, CPA, MBA) a plus
• At least 5 years of solid compliance testing, audit for Asset Management industry experience or regulatory supervisory experience.
• Familiarity with trading systems (e.g. Bloomberg, Aladdin, Charles River), and data analytics tools (e.g. Tableau, Power BI, SQL, Python, R) a plus.
• Knowledge of regulatory framework and requirements by US, Canada and Asian securities regulators such as Hong Kong’s SFC, Singapore’s MAS, Philippines BSP, SEC from United States, OSFI & OSC for Canada, etc.

Job Category:

Compliance

Posting End Date:

25/07/2025