Director, Compliance

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.

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.

• 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.

• 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.

• 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 escalation issues as appropriate.

• Support work streams 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.

• 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.

• Partner with Legal, Operations, Technology, Finance, Distribution, and investment…