Regulatory Strategist
Sanofi
Vault
Senior Director, Compliance
Sun Life
full-time
Posted on:
Location Type: Hybrid
Location: Wellesley Hills • Massachusetts • 🇺🇸 United States
Visit company websiteSalary
💰 $151,000 - $226,000 per year
Job Level
Senior
About the role
- Support the Registered Investment Adviser Compliance Program functions
- Maintain establish standards and implement procedures for compliance program
- Monitor and report on changing regulatory requirements
- Support and coordinate efforts related to regulatory reviews, exams, inquiries, and audits
- Communicate compliance issues and trends to management
- Manage and support investment advisor compliance process operations
Requirements
- Bachelor’s degree in Business, Finance, Economics, or related field
- Advanced degrees or certifications (CFA, IACCP, ACAMS) are highly valued
- Minimum 8 years of experience in asset management compliance
- Strong knowledge of regulatory frameworks (U.S. SEC: Investment Advisers Act of 1940, Investment Company Act of 1940; OSC)
- Excellent interpersonal, communication, change management, and influencing skills
- Demonstrated ability to make recommendations to management and influence business decisions
- Experience in the financial services industry with understanding of operational management
Benefits
- Excellent benefits and wellness programs to support mental, physical and financial well-being
- Generous vacation and sick time
- Market-leading paid family, parental and adoption leave
- Partially-paid sabbatical program
- Medical plans
- Company paid life and AD&D insurance
- Disability programs
- Retirement and Stock Purchase programs
- 401(k) plan with employer-paid match
- Employer-funded retirement account
- Flexible work environment
- Friendly, caring, collaborative and inclusive culture
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
compliance program managementregulatory monitoringregulatory reportinginvestment advisor complianceoperational management
Soft skills
interpersonal skillscommunication skillschange managementinfluencing skillsrecommendation making
Certifications
CFAIACCPACAMS
