Lead asset management compliance operations at SLC Management, coordinating regulatory filings, governance, and program administration across jurisdictions. This hybrid work model expects three or more office days weekly.
As Director, Compliance, you will support execution and enhancement of the Asset Management Compliance Program. The position requires regulatory knowledge, project management capabilities, and operational expertise. You will coordinate compliance processes, regulatory obligations, strategic initiatives, and governance activities across SLC Management.
Key Responsibilities: Administer registered investment adviser compliance programs across jurisdictions
Coordinate Form ADV, Form PF, NFA, OSC, and FCA filings
Maintain policies, procedures, inventories, calendars, and evidence repositories
Support audits, examinations, remediation,



and system implementation projects
Prepare dashboards, trend analysis, and governance committee materials
Requirements: Bachelor’s degree in business, finance, economics, law, or related discipline
Seven or more years of asset management or compliance experience
Understanding of investment adviser regulations and compliance frameworks
Experience supporting filings, governance programs, audits, and compliance operations
Robust project management, analytical, organizational, and communication skills
Apply regulatory expertise, operational discipline, and project management skills to strengthen SLC Management’s global compliance framework.

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📌 Asset Management Compliance Director (Ontario)
🏢 Sun Life
📍 Ontario