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Job Description:

Job Description

Job description (heading) /  Description du poste (titre)

The SLIMTC Compliance Officer (CO) shall be responsible for the overall management of the compliance function of Sun Life Investment Management and Trust Corporation (SLIMTC). The CO shall help in the promotion, facilitation, monitoring and assessment of compliance of SLIMTC with applicable regulations of the Bangko Sentral ng Pilipinas (BSP), Anti Money Laundering Council, and Securities and Exchange Commission (SEC), and internal policies and procedures in accordance with the Sun Life Philippines.

Preferred skills (heading) / Compétences particulières (titre)

Well-acquainted with the subsidiaries and the industries in which they operate.Brings expert knowledge of existing and new regulatory developments relating to SLIMTC. Leverages this regulatory expertise to ensure the operating procedures and systems, products and practices of SLIMTC deliver compliant outcomes.Ensures personal knowledge of regulatory and market conduct trends remains current to ensure compliance programs remain robust and fully meet regulatory and Board expectations.Expert level of communication skills covering written analysis, board reporting and delivering presentations.Expert level of consulting skills, advising the business in solving regulatory problemsGood relationship with regulatorsIn-depth level of knowledge of relevant laws, rules and regulations on banking, asset management and trust products and services.Expert level of knowledge of regulatory compliance requirements and standardsIn-depth level of knowledge of various financial services products, such as banking, trust, insurance, pre-need and mutual funds principles and terminology.The position requires that the candidate is able to understand, analyze and advise complex problems relating to compliance and regulations. Must be able to apply that regulatory knowledge to support compliant and efficient policies, processes and business outcomes .Candidate should be able to also handle issues on people management as he/she will be indirectly managing staff from various functions and levels vis-à-vis regulatory compliance issues and requirements.

Qualifications (heading) / Compétences (titre)

At least a University Degree. A CPA certification or LLB degree is preferred. Other professional designations such as Certified Trust Professional (completed the Trust Operations and Investment Management (TOAP) course), Certified Trust Officer (completed the Investments, Trusts and Estate Management (ITEMS) course), CAMS, CCO, UITF certification, Equivalent experience in the role with other financial institutions may also be considered.7 years of experience of Compliance management within the asset management and trust sectors is essential.  Experience in risk management of financial institutions, including asset management, banking is helpful.

Responsibilities (heading) / Responsabilités (titre)

Provide relevant, correct and prompt advice on products, services, business and Compliance initiatives to ensure compliance with regulatory compliance requirements and Sun Life Compliance Risk Management Framework, including those on trust operations, consumer protection and market conduct, anti-money laundering and anti-terrorist financing, anti-bribery and corruption and privacy, collaborating with other Compliance employees in Philippine BU Compliance, as necessary. Oversee implementation of regulatory requirements and expectations, and providing support where required. This includes maintaining good working relationships with primary regulators and requesting guidance and/or clarification on trust laws and regulations, as may be necessary to ensure proper implementation of regulations.Lead and manage regulatory inspections conducted by the BSP and the SEC.Participate in compliance monitoring and testing activities under various compliance programs.Conduct trainings to ensure that employees of the SLIMTC are aware of regulatory compliance requirements under local regulations and the Compliance Risk Management Framework.Prepare compliance reports for the Board of Directors, local and regional management; and ensures timely and accurate responses to internal and external queries.Administrative and managerial functions.

Job Category:

Compliance

Posting End Date:

30/12/2024