Senior Manager, Compliance, Asia Asset Management

Job Description

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:We are seeking a Senior Manager, Compliance, Asia Asset Management to be part of our dynamic compliance team. Reporting to the Director, Compliance, Asia Asset Management. This role will support the regional Asia Asset Management compliance team as well as SFC licensed corporation, Sun Life Investment Management Asia Limited (“SLIMA”) compliance team. Major accountabilitiesSupport the implementation and ongoing enhancement of the compliance program for Sun Life Investment Management Asia Limited by establishing, maintaining and improving compliance standards, controls, policies and procedures to promote compliance with applicable laws, regulations and internal requirements.Support regulatory reviews, examinations, inquiries and audits to ensure timely, accurate and well-governed regulatory engagement.Manage and coordinate regulatory filings, licensing and registration matters.Assess and advise on regulatory developments, new business initiatives, product launches, process changes and other strategic projects by providing practical compliance guidance and supporting implementation of regulatory or policy changes.Identify, assess and escalate areas of compliance risk and control weakness, and oversee the tracking, investigation, resolution and reporting of compliance breaches, errors, exceptions and related remediation activities to management.Understanding of regulators (e.g. SFC and MPFA), applicable laws and regulations. Knowledge and experience with industry best practices in compliance management.Work closely with business, risk, legal, operations, finance, technology and other stakeholders to communicate key compliance issues, trends and recommendation.Support compliance reporting, management information and committee materials.Support investment advisor compliance process operations including key reporting to management as well as errors tracking and resolutionSupport and deliver compliance training and awareness initiatives, review marketing and external communications materials. ​Specialized knowledgeAbility to navigate in a complex, matrix organizationExcellent interpersonal, communication, change management, and influencing skills, and a team player mindsetExperience working with, reporting to and communicating with regulators as well as ability to review and interpret regulatory requirementsAbility to execute programs in a clear and thoughtful manner as well as identifying opportunities for improvementExperience in the financial services industry with an understanding of operational management practices and objectives including accountabilities, approaches to problem solving, industry trends and best practiceProficiency in Microsoft Office applications, particularly PowerPoint, Word and Excel, with the ability to prepare clear, concise and effective management and committee materialsAbility to leverage artificial intelligence (“AI”) tools responsibly and effectively to enhance research, analysis, drafting, reporting and workflow efficiency, in accordance with internal policies and procedures requirementsProblem SolvingEffectively identify, communicate and escalate compliance matters to management.Solutions orientated with strong technical knowledge of regulatory requirements.Dynamic and fast-paced problem-solving skills, that leverage all available knowledge required for real-time solutions to business problems that carry actionable regulatory risk.Ability to navigate in a complex and matrix organization.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.Experience in the financial services industry with an understanding of operational management practices and objectives including accountabilities, approaches to problem solving, industry trends and best practiceSelf-starter who is proactive, takes initiative to identify and resolve issues, and independently manages projects through to completionEducation & ExperienceDegree in Business, Finance, Accounting or related discipline(s)8+ years relevant experience in asset management complianceWell-versed with the SFO (Securities and Future Ordinance) and other relevant Codes of Conduct and regulations of Type 1, 4, 9 (Knowledge on MPFSO would be a plus)Excellent verbal and written communication skills, with strong presentation skillsAbility to work effectively with stakeholders at all levels of the organization, including senior executives.Job Category:CompliancePosting End Date:29/12/2026 Show More