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Manager, Investment Compliance, Asia Investment Management

1 month ago

Taguig, National Capital Region, Philippines Sun Life Financial Full time

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:

Sun Life is committed to developing its Investment Management capability and operating model in Asia to support continued success across our markets. A central dimension to that is to establish a new entity, licensed by the Securities & Futures Commission, which will support our investment operations across the region. This entity will manage multiple asset classes and will support both the insurance and standalone asset management businesses.

We are seeking a Manager, Investment Compliance, Asia Investment Management to be part of our dynamic compliance team. This role will support the investment manager compliance program.

This role reports directly to the Director, Investment Compliance, Asia Investment Management and is located in Manila, Philippines. This role will support the development of a consistent asset management compliance program within Asia, with a focus on the Investment Compliance and Trade Desks Oversight Compliance Program.

Major Accountabilities- Investment Compliance and Trade Desks Oversight -
  • Supports the Asia Investment Management (AIM) Investment Compliance and Trade Desks Oversight Compliance Program.
  • Program components would include: Trade Desks Oversight (Philippines, Hong Kong, Singapore, Bermuda, Vietnam, Indonesia and Malaysia); Investment Guideline Coding and Monitoring (Pre-trade/ Post-trade); Affiliated Transactions; Information Barriers; IMA On-boarding; Trade Practices Testing/ Surveillance (e.g. Best Execution, Market Misconduct); ESG; and Operating Guidelines and Procedures management.
  • Uphold established standards and implement procedures to ensure that the Investment Compliance and Trade Desks Oversight compliance program remains effective and efficient in identifying, preventing, detecting, and correcting non-compliance with applicable laws and regulations.
  • Understanding of regulatory and self-regulatory agencies (e.g. BSP, SFC) and applicable laws and regulations. Knowledge and experience with industry best practices in investment compliance and communication surveillance management.
  • Identify areas of potential compliance risk and vulnerability; manage and drive effective resolution, reporting updates to management.
  • Act as technical advisor and support business initiatives from a compliance perspective.
  • Manage and support investment advisor compliance process operations.
- E-Communications Surveillance -
  • E-communications surveillance (e.g. policies coding and management, alert monitoring) for investment access persons among Asia.
- Compliance Review and Reporting -
  • Communicate compliance issues and trends, prepare compliance reports to management.
  • Drive insights from data and testing results to provide reporting to management.
  • Support and coordinate efforts related to audits, reviews, examinations, and assist with regulatory filings.
Job RequirementsSpecialized Knowledge
  • Experienced Investment Compliance professional within the asset management industry, including direct experience with trade desk monitoring and reporting (experience with Bloomberg AIM or Aladdin considered a plus).
  • Strong capabilities in MS Office Suite (Excel, Word, PowerPoint).
  • Ability to design and conduct testing utilizing various systems (OMS, Excel) to drive valuable analysis, insights and reporting.
  • Experience working with, reporting to and communicating with regulators as well as ability to review and interpret regulatory requirements.
Education and Experience
  • Degree in Business, Finance, Economics, or related field.
  • CFA (or similar) designation, ACAMS, Industry Exams & Courses (e.g. FINRA, CSI) are a plus.
  • 8+ years relevant experience in asset management compliance.
  • Understanding of the BSP regulations, manual and codes for asset managers.
Communication and Skills
  • Excellent verbal and written communication skills, with strong presentation skills.
  • Ability to work effectively with persons at all levels of the organization, including senior executives.
  • Effectively 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 practice.

Job Category: Compliance

Posting End Date: 30/05/2025

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