Vice President of Regulatory Compliance

2 weeks ago

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

You are unique, and your diverse background, experience, and perspective are valued here. At Sun Life Financial, we foster an environment where you are encouraged, empowered, and challenged to excel. Collaborate with dynamic colleagues who are experts in their fields and eager to share their insights. Our leadership team is dedicated to inspiring you to reach your full potential and achieve new heights. Every day presents exciting opportunities to enhance the lives of our Clients, who are at the core of our mission.

Position Overview:

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

At Sun Life, we seek optimistic individuals who aspire to brighten the lives of our Clients. We recognize the importance of diverse cultures, perspectives, and identities, and we encourage you to bring your authentic self to work. You will be empowered and challenged to collaborate with colleagues to discover innovative solutions that position Sun Life as a leading benefits provider in America.

Key Responsibilities:

  • This role reports directly to the Senior Compliance Officer of the U.S. Business Group, also known as the Chief Compliance Officer (CCO), who holds a Vice President title.
  • Oversee the U.S. Privacy, Financial Crime, Anti-Fraud, Regulatory Compliance Management, and Exam Coordination initiatives and teams.
  • Directly manage Corporate Compliance program leaders and teams to ensure alignment with both enterprise and local mandates.
  • The AVP of U.S. Compliance will utilize data analytics to derive insights, act as a Business Unit Compliance Officer (BUCO), or supervise BUCOs while collaborating with other Compliance AVPs and the VP to deliver high-quality services to clients.
How You Will Contribute:
  • Maintain comprehensive knowledge of relevant laws and regulations impacting Compliance programs and the U.S. Business Group.
  • Monitor legal, regulatory, or industry trends for potential implications on the U.S. Business Group.
  • Provide proactive guidance on legal, regulatory, or industry best practices.
  • Engage in business unit meetings as necessary, articulating views and advice that may differ from business objectives.
  • Challenge first line functions regarding risks and controls.
  • Prepare reports, memoranda, certifications, and correspondence for the CCO and senior management as assigned.
  • Escalate issues to the CCO and/or senior management as appropriate.
  • Oversee responses to state regulatory examinations or inquiries.
  • Maintain relevant Operating Guidelines and Procedures.
  • Communicate compliance requirement changes to management and staff as needed.
  • Supervise risk-based testing of first line controls to evaluate the adequacy and effectiveness of regulatory controls.
  • Model and promote a strong ethical culture in alignment with the Code of Business Conduct and applicable professional standards.
  • Participate in Business Practice reviews, Risk Management, and Product Development meetings as required, escalating significant regulatory or reputational issues to management.
  • Represent the company in various trade associations, including committee participation.
  • Assist the CCO in developing and executing the annual compliance plan and regular reporting.
  • Support the Sun Life Enterprise CCO and team in the execution of the Enterprise Compliance plan.
  • Perform other duties as assigned.
What You Will Bring:
  • Experienced professional in insurance or financial services with substantial compliance or related expertise.
  • Bachelor's degree (advanced degrees or relevant professional certifications are preferred).
  • Proven ability to thrive in a collaborative, team-oriented environment.
  • Strong judgment, discretion, and analytical capabilities, with the ability to prioritize issues and recommend practical solutions.
  • Effective communicator (oral and written) both internally and externally, skilled at simplifying complex issues.
  • Able to navigate ambiguity and assist others in managing complexity and risk.
  • Demonstrated leadership skills with a track record of developing and guiding diverse teams.
  • Understanding of insurance and/or healthcare service fundamentals and operations.
  • Familiarity with regulatory examinations, inquiries, and investigations.
  • Experience in designing, implementing, or analyzing data analytics to assess compliance risks.
  • Experience in a matrixed organization is preferred.
We value all talented candidates and are committed to fostering a culture that embraces diversity in all forms. If you believe you would thrive in this environment, we encourage you to connect with us.

Life is brighter when you work at Sun Life Financial
  • Comprehensive benefits and wellness programs supporting mental, physical, and financial well-being, including generous vacation and sick leave, market-leading paid family and parental leave, and more.
  • Retirement and Stock Purchase programs to enhance your financial security, including a 401(k) plan with employer matching.
  • A flexible work environment that promotes a friendly, caring, collaborative, and inclusive culture.
  • Recognized as a Great Place to Work in Canada and the U.S.
  • Named a "Top 10" employer by the Boston Globe's "Top Places to Work" for two consecutive years.

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