You are as unique as your background, experience and point of view. Here, you’ll be encouraged, empowered and challenged to be your best self. You'll work with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you'll have new and exciting opportunities to make life brighter for our Clients - who are at the heart of everything we do. Discover how you can make a difference in the lives of individuals, families and communities around the world.
It’s an exciting time to be part of SLGI, the Investment Subsidiary of Sun Life Group with over $1 trillion under management and representation in 20 countries. We offer a global investment platform by partnering with the best asset managers globally. SLGI is experiencing tremendous growth at a pace greater than many of our peers with a rock solid base that’s needed in an uncertain economic environment to ensure success and sustainability. The ideal candidate will thrive on challenge, progressive thinking and growth in an environment under rapid change and uncertainty. This individual will have the opportunity to make a large impact at SGLI with exposure to many different departments and products for which you may have never imagined, so you must have a desire to learn something new and the ability to question the status quo.
The Manager, Investment Controls is part of the Governance & Controls (G&C) function, responsible for ensuring the proper oversight and effectiveness of controls in the various functions. The Manager, Investment Controls will assist the business functions in the management and oversight of the risks and controls by facilitating monitoring, oversight execution, issue escalation and coordination between lines functions in a three lines of defense model.
Reporting to the Director, Investment controls, the incumbent will be responsible for assisting with the definition and execution of risk management processes (e.g. controls implementation, testing & monitoring) for SLGI’s Investment Operations. The Manager, Investment Controls will work with the Director to ensure that all mutual funds, institutional accounts, and other investment mandates that are managed and advised by Sun Life Global Investments, including subsidiaries, affiliates and sub advisors are adhering to policies, processes, regulations, objectives and other controls.
Understanding the regulatory and investment landscapes in North America the Manager, Investment Controls will be responsible for but not limited to;
Assisting the Director in providing input into policies and procedures for trading and trade operations (i.e. cross trading, trade aggregation and allocation, best execution, broker/venue selection, commission arrangements, soft dollars, trade error identification/resolution, ratings changes, trade and transaction reporting, and derivatives trading compliance). In addition, the incumbent will monitor adherence to those policies and procedures, educate relevant personal on their requirements and report on their successful implementation to senior management
Coordinating, generating and maintaining research reports, presentations and databases.
Providing operational support to the Director while promoting and environment control, efficiency, effectiveness, accuracy and quality
Ongoing administration of investment controls with compilation and documentation
Working with SLGI business partners in Investment Operations and Portfolio Management to identify, assess, prioritize, and appropriately manage risk and controls.
Proactively identifying operational risks and control deficiencies in the business
Assessing current controls, measure and report risk, and make recommendations for control modification to ensure compliant procedures are in effect. Document results and track action plans to ensure the timely and comprehensive resolution of issues. In addition, the incumbent will monitor adherence to those policies and procedures, educate relevant personal on their requirements and report on their successful implementation to senior management
Escalating operational risk loss events, control deficiencies and risks that are identified to the relevant functions promptly
Reviewing investment guidelines and regulatory restrictions to develop the appropriate coding and ongoing testing/oversight into the compliance system.
Evaluating trading including equity, fixed income and derivatives to determine adherence to investment restrictions, processes, policies and regulations.
Reviewing, identifying and researching exceptions from which independent conclusions are made and reasonable solutions are proposed.
Engaging collaborative to effect change, garner support and elicit stakeholder buy-in.
Updating and reviewing all testing for investment changes to objectives and policies.
Ensuring that the funds and accounts comply with various rules and regulations.
Participating in regular and ad-hoc specialized projects as required
Education and Experience:
University degree. Post graduate work high desirable MBA, MA, CFA, CA
You must have at least 5 years of Investment Fund experience
Wealth management, capital markets, risk management, operations, trading, audit and/or governance exposure required
Robust investment product knowledge including equity, fixed income derivatives and funds with specialized trading styles, types and orders
Experience building, implementing and maintaining processes and controls
Ability to take initiative and function independently balanced with strong teaming skills
Experience planning and leading small projects
Exception reports and dashboards building for senior management with spreadsheet modeling
Strong written and oral communication skills with ability to build and maintain relationships at all levels of the organization quickly
Strong communication skills, including report writing, presentation skills, and influencing skills
Ability to juggle competing priorities and work under pressure to meet demanding response times, all while paying strict attention to detail.
Strong organizational, change management and prioritization skills.
Outstanding quantitative and qualitative analytical skills
Excellent systems, database and application knowledge including OMS, EMS, excel, tableau, Archer, GRC systems and tools, IBOR
Focused and self-motivated team player who balances independent thinking with the execution capabilities and core competencies of the rest of the organization.
Strong project management skills, including the ability to set effective priorities with stakeholders and meet deadlines
Occasional travel may be required
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 email@example.com.
We thank all applicants for showing an interest in this position. Only those selected for an interview will be contacted.
67,400/67 400 - 110,100/110 100
Posting End Date: