Assistant Vice President of Compliance

2 weeks ago

Wellesley Hills, Massachusetts, United States Sun Life Financial Full time

You are as unique as your background, experience, and perspective. Here, you'll be encouraged, empowered, and challenged to be your best self. You'll collaborate with dynamic colleagues - experts in their fields - who are eager to share their knowledge with you. Your leaders will inspire and help you reach your potential and soar to new heights. Every day, you'll have new and exciting opportunities to make life brighter for our Clients - who are at the heart of everything we do. Discover how you can make a difference in the lives of individuals, families, and communities around the world.

Position Overview:

Location: We support flexible working arrangements across the United States.

At Sun Life, we seek optimistic individuals who want to enhance the lives of our Clients. We recognize the value of diverse cultures, perspectives, and identities, and we encourage you to bring your full and authentic self to work. Every day, you'll be empowered and challenged by working with dynamic colleagues to find innovative ways to make Sun Life the premier benefits company in America.

The Role:

  • This position reports directly to the Senior Compliance Officer of the U.S. Business Group, who holds the title of Chief Compliance Officer (CCO).
  • Overseeing the U.S. Privacy, Financial Crime, Anti-Fraud, Regulatory Compliance Management, and Exam Coordination programs and teams.
  • Direct management of corresponding Corporate Compliance program leaders and teams to achieve outcomes that balance enterprise and local mandates effectively.
  • The AVP of U.S. Compliance will be adept with data analytics, leveraging insights to inform decisions, and will serve as a Business Unit Compliance Officer (BUCO) or have BUCOs reporting to them, collaborating with other Compliance AVPs and the VP to deliver high-quality services to clients.
Your Contributions:
  • Maintain comprehensive knowledge of relevant laws and regulations applicable to the Compliance programs and the U.S. Business Group.
  • Monitor legal, regulatory, or practice trends for potential impacts on the U.S. Business Group.
  • Provide proactive advice on legal, regulatory, or industry best-practice trends.
  • Participate in business unit meetings as required, constructively stating views, opinions, and advice that may conflict with business objectives.
  • Provide oversight and challenge to first line functions regarding risks and controls.
  • Prepare reports, memoranda, certifications, and correspondence for the CCO and senior management as assigned.
  • Escalate issues as appropriate to the CCO and/or senior management.
  • Oversee responses to state regulatory examinations or inquiries.
  • Maintain relevant Operating Guidelines and Procedures.
  • Communicate changes in compliance requirements to management and staff as necessary.
  • Supervise appropriate risk-based testing of first line controls to assess the adequacy and effectiveness of regulatory controls.
  • Model and set an appropriate "tone from the top" regarding the Code of Business Conduct and other applicable ethical/professional standards.
  • Participate in Business Practice reviews, Risk Management, and Product Development meetings as needed, escalating material regulatory or reputational issues to management as necessary.
  • Act as a company representative to various trade associations, including committee participation.
  • Support the CCO in developing and executing the annual compliance plan and regular reporting.
  • Support the Sun Life Enterprise CCO and team in developing and executing the Enterprise Compliance plan.
  • Other duties as assigned.
Qualifications:
  • Experienced insurance or financial services professional with significant, relevant compliance or related experience.
  • Bachelor's degree (graduate and/or relevant professional designations are preferred).
  • Proven success in a collaborative, team-oriented environment.
  • Sound judgment, discretion, and analytical skills, with the ability to prioritize issues and recommend practical solutions.
  • Proficient communication skills (oral and written) both within and outside the organization, with the ability to clarify complex issues.
  • Able to operate confidently in ambiguous situations and assist others in navigating complexity and risk.
  • Excellent leadership skills with a demonstrated record of developing and leading a diverse team of professionals.
  • Knowledge of insurance and/or healthcare services fundamentals and operations.
  • Familiarity with regulatory examinations, inquiries, and investigations.
  • Experience in designing, implementing, or analyzing data analytics to identify and evaluate compliance risks.
  • Experience working within a matrixed organization is preferred.
Do you see yourself in this role even if you haven't checked all the boxes above? We welcome all talented candidates and are committed to a culture that represents diversity in all forms. If you think you might thrive in this setting, we would love to hear from you.

Benefits of Working at Sun Life:
  • Comprehensive benefits and wellness programs to support mental, physical, and financial well-being, including generous vacation and sick time, market-leading paid family, parental, and adoption leave, and medical plans.
  • Retirement and Stock Purchase programs to enhance your future financial security, including a 401(k) plan with an employer-paid match.
  • A flexible work environment with a friendly, caring, collaborative, and inclusive culture.
  • Recognized as a Great Place to Work in Canada and the U.S.
  • Named as a "Top 10" employer by the Boston Globe's "Top Places to Work" for two consecutive years.
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

At Sun Life, we strive to create a flexible work environment where our employees are empowered to do their best work. Several flexible work options are available and can be discussed throughout the selection process depending on the role requirements and individual needs.

Job Category:

Compliance

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