• Job Description

  Req#: JR00091974

  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, Distribution Compliance - SLC Management

  What is in it for you:

  We are seeking a Senior Director, Distribution Compliance to be part of our dynamic compliance team. Reporting directly to the Managing Director of Distribution Compliance, this position will be a leading contributor to the distribution compliance team which supports a global distribution model across our RIAs and US broker-dealer.

  What you will do:

  • Key contributing member of the distribution compliance team.
  • Conduct the review and approval of marketing collateral (including advertising materials, investor communications and general distribution activities) to identify, manage and assess both regulatory and reputational risk.
  • Partner and work seamlessly with various teams and departments including Sales, Distribution & Business Development, Client Relationships, Performance, Marketing, and Legal in establishing and maintaining an effective culture of compliance across distribution practices.
  • Provide important compliance guidance in the design of innovative marketing initiatives and strategies.
  • Ability to deeply understand business strategy, articulate regulatory requirements, and influence compliant outcomes.
  • Support e-communications recordkeeping and surveillance programs, including email, social media, and emerging methods of business communications.
  • Create, distribute, and maintain educational resources, libraries, and trainings as necessary.
  • Deliver high-quality reporting and metrics to Compliance leadership, proactively monitoring for trends and potential risk areas.
  • Responsible for the detection, prevention, and escalation of non-compliance with applicable laws and regulations across broker-dealer and investment advisor activities.
  • Continuously assess current processes to create new and updated compliance practices, facilitating program improvement.
  • Manage and provide compliance oversight of program enabling employees to engage with the media on behalf of the company.
  • Provide guidance to the Sales and Marketing teams on ad-hoc projects and new business initiatives, such as product launches.
  • Coordinate efforts related to sweep reviews, audits and examinations, and fulfill other continuous regulatory obligations related to investment adviser and /or broker dealer activities.
  • Ability to stay apprised of US and Canadian regulatory changes (e.g., FINRA, SEC, OSC and OSFI) and put into effect necessary updates.
  • Assist broader compliance team on projects as needed.

  Competencies

  • Investment Advisor (IA) and Broker-Dealer (BD) experience.
  • Versed in US (SEC and FINRA) and Canadian (OSC and OSFI) distribution requirements. Experience in implementation of the SEC New Marketing Rule is a plus.
  • Comprehensive understanding of asset management distribution practices, including regulatory requirements and industry best practices.
  • Proficient in Digital/E-communication compliance responsibilities.
  • Comfortable working as a ‘self-starter’ with a demonstrated work ethic.
  • Drive for managing risk through creative and innovative solutions.
  • Strong analytical skills with high attention to detail.
  • Ability to identify risk and offer alternatives and solutions in managing.
  • Decision making ability supported by strong judgement, data and reason.
  • Able to manage multiple priorities and conflicting deadlines.
  • Demonstrate critical thinking and problem-solving abilities.
  • Excellent interpersonal, communication, change management, and influencing skills, and a team player mindset.
  • Ability to establish strong working relationships with key stakeholders across the enterprise.
  • Ability to navigate in a complex, matrix organization.
  • 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.

  What you will need to succeed:

  • Bachelor’s degree in Business, Finance, Economics, Political Science/Legal Affairs, or related field.
  • FINRA series 7 and 24 licenses a plus, or ability to obtain within 6 months of hire.
  • Versed in various types of IA and BD products, offerings, and services.
  • 8+ years of experience in distribution compliance domain.
  • Experienced with advertising regulation in the US and Canada; versed in the application of such regulation to modern marketing strategies such as podcasts, paid advertising, media appearances and social media activity. Experience in management of a compliance social media program is a plus.
  • Familiarity with marketing review software and/or communication surveillance systems.

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

  We consider various factors in determining actual pay including your skills, qualifications, and experience. In addition to salary, this position is eligible for incentive awards based on individual and business performance as well as a broad range of competitive benefits.
  

  Why SLC Management?

  • Opportunity to work for a growing global institutional asset manager
  • Excellent benefits and wellness programs to support the three pillars of your well-being – mental, physical and financial – including generous vacation and sick time, market-leading paid family, parental and adoption leave, a partially-paid sabbatical program, medical plans, company paid life and AD&D insurance as well as disability programs and more
  • Retirement and Stock Purchase programs to help build and enhance your future financial security including a 401(k) plan with an employer-paid match as well as an employer-funded retirement account
  • A flexible hybrid work environment with a friendly, caring, collaborative and inclusive culture focused on career growth development #WeWinAsATeam
  • The opportunity to move along a variety of career paths with amazing networking potential
  • Award winning workplace culture - Great Place to Work® Certified in Canada and the U.S., “Best Places to Work in Money Management” by Pension & Investments, “Top 10” employer by the Boston Globe's “Top Places to Work” two years running

  SLC Management is a regulated business, and this means that there are certain financial reporting and trading preclearance requirements for all employees. Successful candidates will be required to declare personal investment accounts and securities investments as well as seek preclearance on future transactions including those of household members.

  Job Category:

  Compliance

  We consider various factors in determining actual pay including your skills, qualifications, and experience. In addition to salary, this position is eligible for incentive awards based on individual and business performance as well as a broad range of competitive benefits.

  We are committed to fostering a diverse, equitable and inclusive environment, where all employees feel valued, respected, and supported. We are dedicated to building a diverse workforce offering wide perspectives and creative ideas that benefit our clients, teams and the communities where we operate. We welcome applications from qualified individuals from all backgrounds. Research shows that women and underrepresented groups tend to apply only if they meet 100% of the criteria. We encourage women, people of color and those in LGBTQ+ communities to apply even if they don’t meet every criteria in the job description.

  We will make reasonable accommodations to known physical or mental limitations. Persons with disabilities who need accommodation in the application process or those needing job postings in an alternative format may e-mail a request to thebrightside@sunlife.com .

  We thank all applicants for showing an interest in this position. Only those selected for an interview will be contacted.

  All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

  For applicants residing in California, please read our employee California Privacy Policy and Notice.

• About the company

  Sun Life Financial Inc. is a Canadian financial services company.

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