Lead/Assistant Manager - Compliance Monitoring & Testing

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.

Job Description:

Overview:

The Compliance Lead/Asst. Manager is a key contributor to the success of the Asia Compliance Monitoring and Testing (M&T) program. As an essential element of Sun Life’s Regulatory Compliance Management (RCM) Framework, Monitoring and Testing provides insight into the effectiveness of the organization’s control environment. This role will execute testing of controls specific to regulatory risks faced by the Asia BUs as well as develop and implement enhancements related to test planning, execution, reporting and use of data and technology.

This role is an opportunity for a compliance professional with strong testing/auditing skills to gain exposure to all of the business products, operations and distribution channels across our Asia business. This role will lead compliance testing engagements while interacting with leaders and subject matter experts across the first and second lines of defense.

What are we looking for:

• Minimum 5-8 years of work experience with testing, internal/external audit, risk control evaluation and assessment and assurance
• Excellent verbal and written communication skills, with strong interpersonal skills;
• Self-motivated and independent;
• Takes responsibility for maintaining and developing knowledge and skills
• Excellent relationship building skills
• Ability to work as part of a team and with persons at all levels of the organization;
• Analytical thinker with strong conceptual and problem-solving skills;
• Organized and detail-oriented with the ability to make sound judgments;
• Demonstrated experience and knowledge of Regulatory Compliance Management framework components and linkages, with a focus on Monitoring & Testing;
• Excellent report writing and documentation skills; and
• Strong knowledge of financial services industry, compliance issues and regulatory focus.

Eligibility

• A minimum of 5-8 years’ experience in operational/business controls testing or internal auditing, including regulatory compliance within the financial services/insurance sector
• Firm working knowledge of audit procedures, planning, and test/sampling methods
• An ability to gather and analyze facts, in order to prepare and present concise findings
• A recognized professional accounting designation or compliance certifications (e.g. CPA/CA, CIA, CAMS, CIPM/CIPP, CFE etc).is preferred
• 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
• Prior experience in control testing of corporate functions (such as HR, IT, Finance, Tax, Legal etc.) is preferred
• Experience in data analytics is preferred
• Excellent verbal and written communication, interpersonal and teamwork skills
• Ability to operate in a deadline-focused environment

Job Category:

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