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Added 10 mins ago
NM
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SLC Management

Director, Compliance - SLC Management

Toronto, ON, Canada
Waterloo, ON, Canada
Sun Life Toronto One York, Canada

Full-time

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Job details

Job type: Full-time
Apply by: Nov 12, 2026
Experience: 7+ years of asset management and/or compliance experience.
Posting language: English
Posted: Oct 28, 2026

Original job description

SLC Management is a growing global asset management firm providing innovative and diversified investment solutions to institutional investors. We are breaking new ground with a full spectrum of solutions for a growing institutional client base of more than 1400 organizations. Our history of organic and strategic growth reflects this commitment with over CA$422/US$304 billion in assets under management (AUM). As a subsidiary of Sun Life, we are aligned with one of the world’s leading financial services companies, and benefit from the stability and strength of that relationship.

We are a performance-driven organization with a deliberate focus on fostering a development-focused, inclusive culture revolving around our Core Values of being client obsessed, valuing each other, acting with speed and having an owner’s mindset. As part of our team, you play a role in fulfilling our purpose and making a difference. We offer a rewarding work environment that is filled with opportunity for growth where you will be empowered to meet the challenges of a highly competitive landscape.

Visit our website to learn more and for the most up to date AUM information.

SLC Management offers a mix of in-office and virtual work where our employees are empowered to do their best. Generally, employees are expected to work three or more days in-office each week with flexibility depending on their business, client and team needs.

Job Description:

Director, Compliance – SLC Management

What is in it for you:

The Director, Compliance supports the execution and enhancement of the Asset Management Compliance Program through operational oversight, regulatory program administration, project management, and governance activities. This role is responsible for coordinating key compliance processes, supporting regulatory obligations, managing strategic initiatives, and partnering across the organization to maintain an effective compliance framework.

The successful candidate is a highly organized compliance professional with strong regulatory knowledge, project management capabilities, and operational expertise.

What you will do:

Compliance Program Administration

Support administration of the registered investment adviser compliance program across multiple jurisdictions.
Maintain compliance policies, procedures, inventories, governance documentation, and evidence repositories.
Coordinate annual compliance reviews and risk assessments.

Regulatory Filings & Reporting

Manage day-to-day execution of regulatory filing requirements, including collection, validation, and coordination of information.
Support preparation and submission of Form ADV, Form PF, NFA, OSC, FCA, and other regulatory filings.
Maintain filing calendars and regulatory obligation tracking.

Compliance Operations

Administer compliance operational processes, including:
- Regulatory attestations and certifications
- Compliance training programs
- Errors and exception tracking
- Vendor due diligence and oversight
- Compliance recordkeeping
- Compliance metrics and reporting
Monitor operational controls and escalate issues as appropriate.

Strategic Projects & Remediation

Support workstreams associated with audits, examinations, remediation plans, and compliance enhancement initiatives.
Support system implementations, automation efforts, and process improvement projects.
Track project milestones, deliverables, and stakeholder communications.

Monitoring & Reporting

Prepare compliance dashboards, metrics, trend analysis, and management reporting.
Identify emerging risks and compliance issues through ongoing monitoring activities.
Develop materials for governance committees and senior management updates.

Stakeholder Partnership

Partner with Legal, Operations, Technology, Finance, Distribution, and investment teams to support compliance initiatives.
Act as a resource for compliance operational inquiries and implementation of new regulatory requirements.
Assist in the development of practical compliance solutions for business initiatives.

What you need to succeed:

Bachelor’s degree in Business, Finance, Economics, Law, or related discipline.
7+ years of asset management and/or compliance experience.
Strong understanding of investment adviser regulatory requirements and compliance frameworks.
Experience supporting regulatory filings, governance programs, audits, and compliance operations.
Strong project management, analytical, and organizational skills.
Experience with compliance technology platforms, workflow management tools, and reporting solutions.
Excellent written and verbal communication skills.
Ability to manage multiple priorities in a fast-paced environment while maintaining attention to detail.

Why SLC Management?

Opportunity to work for a growing global institutional asset manager
Excellent benefits and wellness programs to support the three pillars of your well-being – mental, physical and financial – including generous vacation and sick time, market-leading maternity, parental and adoption leave top up program, a partially-paid sabbatical program and much more
Pension, stock and savings programs with an employer-paid match to help build and enhance your future financial security
A flexible work environment with a friendly, caring, collaborative and inclusive culture focused on career growth development #WeWinAsATeam
The opportunity to move along a variety of career paths with amazing networking potential
Award winning workplace culture - Great Place to Work® Certified in Canada and the U.S., “Best Places to Work” by Glassdoor, Award for Excellence for Mental Health at Work, “Best Places to Work in Money Management” by Pension & Investments

SLC Management is a regulated business, and this means that there are certain financial reporting and trading preclearance requirements for all employees. Successful candidates will be required to declare personal investment accounts and securities investments as well as seek preclearance on future transactions including those of household members.

Job Category:

Compliance

Salary Range

130,000/130 000 - 180,000/180 000

We are committed to pay transparency and equity. The base salary range for this role is competitive and we strive to ensure that compensation is fair and equitable. Your actual base salary will be determined by your unique skills, qualifications, experience, education, and geographic location. In addition to base salary, this position is eligible for a discretionary annual incentive award based on individual and overall business performance along with a broad range of competitive benefits.

We are committed to fostering an inclusive environment where all employees feel they belong, are supported and empowered to thrive. We are dedicated to building teams with varied experiences, backgrounds perspectives and ideas that benefit our colleagues, clients, and the communities where we operate. We encourage applications from qualified individuals from all backgrounds.

We may use artificial intelligence to support candidate sourcing, screening, interview scheduling.

We will make reasonable accommodations to known physical or mental limitations. Persons with disabilities who need accommodation in the application process or those needing job postings in an alternative format may e-mail a request to thebrightside@sunlife.com.

We thank all applicants for showing an interest in this position. Only those selected for an interview will be contacted.

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More about this job

Responsibilities

The Director of Compliance supports the execution and enhancement of the Asset Management Compliance Program through operational oversight, regulatory administration, and governance activities. This role involves managing regulatory filings, coordinating compliance reviews, and partnering with internal teams to implement effective compliance frameworks.

Requirements

Candidates must possess a bachelor's degree in a relevant field and at least 7 years of experience in asset management or compliance. Strong knowledge of investment adviser regulatory requirements and project management capabilities are essential for success in this role.

Skills

Regulatory filings
Project management
Risk assessment
Operational oversight
Governance
Asset management
Regulatory reporting
Vendor due diligence
Compliance metrics
Stakeholder management
Analytical skills
Communication skills
Workflow management
Policy development

Benefits

Health insurance
Vacation time
Sick time
Maternity leave
Parental leave
Adoption leave
Sabbatical program
Pension program
Stock program
Savings program

Visa sponsorship

Not detected in the job text

Keywords

Compliance
Asset Management
Regulatory Filings
Form ADV
Form PF
Governance
Risk Management
Operational Controls
Vendor Oversight
Project Management
Institutional Investors
Financial Services
Compliance Framework
Reporting
Audit
Remediation
Investment Adviser
Data Analysis
Stakeholder Management
Policy Administration

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