Job Description for Investment Compliance Analyst
Experience 4 - 8 years
Shift Timing 1.30 PM to 10.00 PM
Role The Investment Compliance Analyst will work closely with Business Partners in Investment Compliance at North America to help in data reconciliation, analysis and testing of Compliance Systems and Processes.
Skills/Capabilities
- Ability to understand process and compliance aspects around global financial securities
- Analytical ability to evaluate data trends and performance
- Proficient on MS Excel and MS Word
- Ability to learn fast and replicate the best practices
- Ability to learn via remote trainings and effectively deliver the same
- Decision making ability supported with data
- Able to manage multiple priorities and conflicting deadlines
- Exhibit people management and leadership skills
- Demonstrate problem solving abilities
- Excellent written/oral communication skills
- Ability to think on your feet
- Good Presentation skills
- Good interpersonal skills
- Analytical with high attention to details
- Customer service focus
Responsibilities
- Perform reconciliations and prepare reporting to support our ongoing regulatory obligations and internal policy requirements around the Code of Ethics.
- Assist in the administration of the Code of Ethics.
- Provide support for internal Compliance testing activities and regulatory filings across Sun Life's investment operations.
- Perform monthly and quarterly testing on SLC portfolios post-trade data.
- Prepare desk procedures of any new testing being done.
- Work with others in Investment Compliance on projects as needed in the development of a global compliance program; may perform activities across different jurisdictions based on needs/requirements.
Education and Experience
- Graduate degree in Commerce and nice to have - Full time MBA (Finance)
- Around 4 - 8 years of experience in Investment Compliance domain Code Of Ethics, Monitoring, Data Analysis and Testing
- Sound knowledge in Microsoft Excel with ability to build formulas and macros
