Compliance, Manager (Fixed Term/Full Time)

Sun Life Financial - Toronto, ON (30+ days ago)

Apply Now

At Sun Life, we work together, share common values and encourage growth and achievement. We offer many career paths that attract a wide variety of talent and skills. Follow a path that lets your talents shine.

Job Description:
The talent and passion of our people is critical to our success, therefore, Sun Life Financial (SLF) Canada provides a superior foundation for building a professional career and is a place for people to learn, to achieve and grow.

We are searching for a talented candidate who is looking to grow their leadership, compliance and testing knowledge and experience. The Compliance Manager role provides the opportunity to work with multiple lines of business and different functional areas. In this role, the incumbent will build long-lasting, mutually beneficial relationships while advancing and enhancing SLF’s compliance testing program.

Role Summary:
Reporting to the Director, Compliance Testing (“the Director”), the Compliance Manager will be primarily responsible for the ongoing management and maintenance of the Compliance Testing Program (“the Program”) for Sun Life Financial Canada. The role works closely with Business Unit Compliance Officers (BUCO) and their teams, Corporate Compliance, Operational Risk, and other Control Functions.

Specifically, the incumbent will be responsible for performing compliance tests to regulatory requirements and be able to provide reasonable and informed recommendations to address findings.

What will you do?

Develop Annual Compliance Testing Plans and schedules for each of the Canadian Business Units based on regulatory risk and in collaboration with the BUCOs.
Review regulatory requirements and policies and procedures, design work programs and test steps for key controls and applicable regulatory requirements.
Execute test steps by reviewing and assessing key compliance processes and controls and documenting work papers.
Communicate with stakeholders throughout the review process, including obtaining information necessary to complete the testing.
Identify issues, create recommendations and review business action plans to determine if they adequately address risk and provide credible challenge where necessary.
Track issue remediation and ensure adequate and timely completion of action plans.
Write clear and concise compliance testing reports that documents the risk, scope, findings and recommendations.
Review Compliance Testing program outcomes for trends and opportunities for improvement of the program’s effectiveness.
Maintain effective working relationships with compliance representatives and line management.
Contribute to several projects at any one time with different stakeholders.
What you need to succeed?

A minimum of 3-7 years of progressive Compliance Testing or Internal Audit experience that includes working knowledge of audit procedures, planning, testing and sampling methods within the financial services/insurance sector.
Undergraduate degree in Business, Accounting or Finance is required.
A recognized professional accounting designation (e.g. CPA/CA, CIA, CPA/CMA, or CPA/CGA) is required.
Excellent knowledge of risks, controls and testing methodology.
An ability to gather, analyze and evaluate facts and to prepare and present concise findings.
Ability to translate legislation and regulations into business impacts, compliance elements and regulatory risks.
Knowledge of regulatory requirements and securities laws applicable to financial institutions.

Preferred Skills:
Strong analytical, organizational and problem solving skills.
Ability to work independently as well as in a team and manage multiple priorities and timelines.
Ability to operate in, and adapt to, a dynamic environment while learning new processes/tools quickly and efficiently.
Excellent verbal and written communication and strong interpersonal skills.
Ability to prioritize responsibilities, and complete deliverables and tasks in a deadline-focused environment.
What's in it for you?

Working within a high performance culture, a supportive working environment, a culture of collaboration.
Talented and diverse workforce; opportunity to launch a rewarding career.
A company that promotes health and wellness and work/life balance.
The Base Pay range is for the primary location for which the job is posted. It may vary depending on the work location of the successful candidate or other factors. In addition to Base Pay, eligible Sun Life employees participate in various incentive plans, payment under which is discretionary and subject to individual and company performance. Certain sales focused roles have sales incentive plans based on individual or group sales results.

Diversity and inclusion have always been at the core of our values at Sun Life. A diverse workforce with wide perspectives and creative ideas benefits our clients, the communities where we operate and all of us as colleagues. We welcome applications from qualified individuals from all backgrounds.

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

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

Salary Range:
66,800/66 800 - 109,100/109 100

Job Category:

Posting End Date: