Senior Manager, Enterprise Asset Management Compliance, Asia

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 :

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

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

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.

Education, Qualifications and Experience

Job Category : Compliance

Posting End Date : 25 / 07 / 2025