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Job Description : Job Purpose :
Job Purpose :
The Investments Compliance Specialist will be responsible for compliance support for the Investments operations of Sun Life Financial Philippines ( SLF PH ).
S / He will assist the designated Compliance Officer in implementing the investments compliance program on a day-to-day basis.
The mandate of this function is prescribed by regulations and policy respectively. While the focus of the position will be SLF PH activity, it will also be part of an enterprise-wide Investments Compliance unit and support the unit’s enterprise-wide investments compliance program and activities.
Tasks include analysis, investigation, conducting research, conducting training, compliance testing and review, report-writing and active participation in the continuous improvement of compliance programs.
Major Accountabilities :
Work with Investments personnel to implement policies and procedures that establishes a system of controls for the firm to comply with securities legislation and other applicable laws (e.
g. AML, Privacy, Market Conduct, etc.);
Perform regular compliance testing and monitoring on Investments activity, including the day-to-day monitoring through the Bloomberg AIM / CMGR system, to assess compliance by the firm with securities, legislations, other applicable laws and SLF policies;
Assist in maintaining and enhancing risk assessments, test plans or other compliance monitoring tools, databases, controls and procedures, as required;
Assist in responding to regulatory examinations and internal audits, as appropriate; Provide training and guidance to Investments staff on regulatory / policy and compliance issues;
Prepare compliance reports for the Chief Compliance Officer, internal governance committees, and SLF Regional and Corporate Compliance as appropriate, for the purpose of assessing compliance;
Attend Investment Committee meetings, as required, and report on investments compliance matters;
Conduct regular testing, trending and analyses of investment and trading activities, and report on results of testing to the Chief Compliance Officer, internal governance committees, SLF Regional and Corporate Compliance, as appropriate
Identification and escalation of significant incidents of non-compliance to the Chief Compliance Officer;
Work with others in Investments Compliance on projects as needed to assist in the development of a global compliance platform to oversee compliance with policy
A 4-year university degree
At least 3 years' work experience gained from a financial services company in compliance or a related or similar capacity, e.
g. fraud, audit, anti-money laundering, governance.
Experience in investment compliance, investment management operations, trading and settlement.
Knowledge of operating for Bloomberg AIM / CMGR.
Attended any course / classes / seminars on investment management.
Job Category : Compliance