AVP, Enterprise Asset Management Compliance & MLRO - Sun Life : Job Details

AVP, Enterprise Asset Management Compliance & MLRO

Join to apply for the AVP, Enterprise Asset Management Compliance & MLRO role at Sun Life

AVP, Enterprise Asset Management Compliance & MLRO

2 weeks ago Be among the first 25 applicants

Join to apply for the AVP, Enterprise Asset Management Compliance & MLRO role at Sun Life

Sun Life U.S. is one of the largest providers of employee and government benefits, helping approximately 50 million Americans access the care and coverage they need. Through employers, industry partners and government programs, Sun Life U.S. offers a portfolio of benefits and services, including dental, vision, disability, absence management, life, supplemental health, medical stop-loss insurance, and healthcare navigation. We have more than 6,400 employees and associates in our partner dental practices and operate nationwide.Visit our website to discover how Sun Life is making life brighter for our customers, partners and communities.Job Description:Sun Life embraces a hybrid work model that balances in-office collaboration with the flexibility of virtual work.The opportunity:We are seeking an AVP, Enterprise Asset Management Compliance to be part of our dynamic team. A member of the Enterprise Asset Management (EAM) Risk and Compliance team, the AVP, Enterprise Asset Management Compliance is a second line of defense role and will be embedded within Sun Life Capital Management (SLC Management) and engaged across the full platform including the affiliated entities of BGO, Crescent Capital, InfraRed Capital Partners and Advisors Asset Management (AAM). This role is critical in ensuring that the organization meets all regulatory requirements and maintains robust compliance practices.The AVP, Enterprise Asset Management Compliance will also serve as the money laundering reporting officer (MLRO) working closely with Sun Life's Financial Crimes team and SLC Management and affiliated entities.How you will contribute:

• Own the L2 Compliance compliance programs for Sun Life's Alternatives Investment Management platform (SLC Management and affiliated entities (Bentall Green Oak, Crescent Capital, InfraRed Capital, and Advisers Asset Management)) primarily within the United States and Canada, including providing guidance to resolve issues, remediate exceptions, and implement new rules and product initiatives.
• Be the senior EAM compliance leader within the SLC business; proactively engage and work with the SLC Business Unit L1B Risk and Compliance team and business leaders to ensure issues are identified, reported and remediated transparently and effectively.
• Lead and manage the Compliance Testing and Assurance Program (including annual compliance reviews under SEC Rules 206(4)-7 Investment Advisors Act and 38(a)-1 Investment Company Act, and engagement with the external compliance consultant firm that conducts the detailed testing.
• Serve as the MLRO for SLC Management and work closely with Sun Life's Financial Crimes team and SLC Management and affiliated entities to ensure a robust AML and Sanctions program and adherence with Sun Life policies, standards, and regulatory requirements. Including reporting, risk assessments, oversight and testing of AML programs.
• Be the Sun Life subject matter expertise lead in Mergers and Acquisition programs and the oversight of the product development lifecycle.
• Co-own and be a thought leader within the Global Sun Life Asset Management Compliance Community of Practice. Proactively contribute to the financial crime community, ensuring that the sector-specific investment risks within AML and Sanctions programs are appropriately addressed, and lead this community of financial crime specialists across Sun Life, its affiliates and engagement with MFS.
• Responsible for compliance reporting for SLC into Sun Life Enterprise Compliance and the SLC Boards.
• Proactive engagement with Sun Life Enterprise Compliance, SLC Risk and Compliance, Business Stakeholders, Affiliated Entities to communicate Sun Life policies changes, standards and key matters.

What you will bring with you:

• Bachelor's degree in Finance, Business, Law, or a related field; CFA or advanced degree a plus.
• Industry Certifications – Certified Anti-Money Laundering Specialist (CAMS) or equivalent certifications preferred.
• 10+ years of asset and investment management compliance experience; experience with AML and sanctions compliance experience is preferred.
• Strong knowledge of securities regulations (e.g. investment advisors act), including AML and Sanctions monitoring
• Ability to work independently, strong planning ability to prioritize work, manage multiple priorities, and complexity in a fast-paced environment.
• Excellent interpersonal, communication, change management, and influencing skills, and a team player mindset.
• Demonstrated ability to make recommendations to senior management and influence business decisions based on thorough analysis.

At our company, we are committed to pay transparency and equity. The salary range for this role is competitive nationwide, and we strive to ensure that compensation is fair and equitable. Your actual base salary will be determined based on your unique skills, qualifications, experience, education, and geographic location. In addition to your base salary, this position is eligible for a discretionary annual incentive award based on your individual performance as well as the overall performance of the business. We are dedicated to creating a work environment where everyone is rewarded for their contributions.Salary:170,900-273,400Not ready to apply yet but want to stay in touch? Join our talent community to stay connected until the time is right for you!We are committed to fostering an inclusive environment where all employees feel they belong, are supported and empowered to thrive. We are dedicated to building teams with varied experiences, backgrounds, perspectives and ideas that benefit our colleagues, clients, and the communities where we operate. We encourage applications from qualified individuals from all backgrounds.Life is brighter when you work at Sun LifeAt Sun Life, we prioritize your well-being with comprehensive benefits, including generous vacation and sick time, market-leading paid family, parental and adoption leave, medical coverage, company paid life and AD&D insurance, disability programs and a partially paid sabbatical program. Plan for your future with our 401(k) employer match, stock purchase options and an employer-funded retirement account. Enjoy a flexible, inclusive and collaborative work environment that supports career growth. We're proud to be recognized in our communities as a top employer. Proudly Great Place to Work Certified in Canada and the U.S., we've also been recognized as a Top 10 employer by the Boston Globe's Top Places to Work for two years in a row. Visit our website to learn more about our benefits and recognition within our communities.We will make reasonable accommodations to the known physical or mental limitations of otherwise-qualified individuals with disabilities or special disabled veterans, unless the accommodation would impose an undue hardship on the operation of our business. Please email [email protected] to request an accommodation.For applicants residing in California, please read our employee California Privacy Policy and Notice.We do not require or administer lie detector tests as a condition of employment or continued employment.Sun Life will consider for employment all qualified applicants, including those with criminal histories, in a manner consistent with the requirements of applicable state and local laws, including applicable fair chance ordinances.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.Job Category:CompliancePosting End Date:01/08/2025

Seniority level

• Seniority levelNot Applicable

Employment type

• Employment typeFull-time

Job function

• Job functionFinance and Sales
• IndustriesFinancial Services and Insurance

Referrals increase your chances of interviewing at Sun Life by 2x

Sign in to set job alerts for “Vice President Asset Management” roles.Investment Banking Asset Management Senior Associate/Vice President - New York

New York, NY $225,000.00-$275,000.00 1 month ago

Volunteers of America - Greater New York - SVP, Real Estate and Facilities

New York, NY $220,000.00-$240,000.00 1 week ago

Vice President of Real Estate, Facilities, & Infrastructure

New York City Metropolitan Area $174,800.00-$236,040.00 2 weeks ago

New York, NY $200,000.00-$245,000.00 2 weeks ago

Vice President, Brooklyn & Queens, Commercial & Industrial

New York, NY $130,000.00-$135,000.00 1 week ago

AVP, Real Estate & Hospitality Industry Practice Leader

New York, NY $111,600.00-$189,800.00 1 month ago

Vice President of Finance | Luxury Resort Brand JN -072###-####42Vice President (Investor Relations & Client Services)

New York, NY $150,000.00-$180,000.00 1 week ago

Investor Relations - Senior Vice President - New YorkAssistant Director - Engineering, Asset Management | Client Experience Portfolio

New York, NY $137,000.00-$185,000.00 1 week ago

Garden City South, NY $100,000.00-$150,000.00 4 days ago

VP of Real Estate and Construction, 2 Hour Learning (Remote) - $400,000/year USD

New York, NY $180,000.00-$220,000.00 4 weeks ago

Capital and Liquidity Policy- New York – Vice President (Securitization & Banking Book Equity)

New York, NY $150,000.00-$200,000.00 4 weeks ago

New York, NY $150,000.00-$200,000.00 3 weeks ago

New York, NY $150,000.00-$250,000.00 2 weeks ago

AVP, Supply Chain Finance Supplier Acquisition

New York, NY $130,000.00-$160,000.00 3 weeks ago

New York City Metropolitan Area 1 week ago

New York City Metropolitan Area 1 week ago

New York, NY $150,000.00-$190,000.00 1 week ago

New York City Metropolitan Area $180,000.00-$200,000.00 2 weeks ago

New York, NY $225,000.00-$250,000.00 3 days ago

New York City Metropolitan Area $250,000.00-$325,000.00 5 days ago

Asset & Wealth Management, Debt Capital Markets, Infrastructure, Vice President - New York

New York, NY $160,000.00-$210,000.00 1 week ago

New York, NY $140,000.00-$180,000.00 1 week ago

Vice President Multi Family Asset Management

New York City Metropolitan Area $175,000.00-$200,000.00 3 days ago

New York, NY $165,000.00-$175,000.00 1 week ago

AVP, Private Assets Operations - Private Credit

New York, NY $80,000.00-$175,000.00 1 month ago

New York, NY $180,000.00-$210,000.00 2 days ago

We're unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.

#J-18808-Ljbffr