Asia Investment Compliance Manager

2 weeks ago


Taguig, National Capital Region, Philippines Sun Life Financial Full time
Job Description:

Sun Life Financial is committed to developing its investment management capability and operating model in Asia. A key dimension to this is establishing a new entity, licensed by the Securities & Futures Commission, which will support our investment operations across the region.

We are seeking a compliance professional to join our dynamic team in Manila, Philippines. This role will support the development of a consistent asset management compliance program within Asia, with a focus on trade desk oversight and investment compliance.

This role reports directly to the Director, Investment Compliance, Asia Investment Management and will be responsible for upholding established standards and implementing procedures to ensure that the investment compliance and trade desk oversight compliance program remains effective and efficient.

The ideal candidate will have experience working with regulatory agencies and industry best practices in investment compliance and communication surveillance management. They will also be able to identify areas of potential compliance risk and vulnerability, manage and drive effective resolution, and report updates to management.

  • 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.


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