Director, Compliance - SLC Management

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.

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.

Salary Range

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 [email protected].

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