Lead Compliance, Monitoring & Testing

You are as unique as your background experience and point of view. Here youll be encouraged empowered and challenged to be your best self. Youll work 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 youll have new and exciting opportunities to make life brighter for our Clients - who are at the heart of everything we do.

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When you join Sun Life youll work with passionate colleagues and empowering leaders who support your growth and celebrate your contributions so you can make a meaningful difference in our Clients lives.

Discover how you can make a difference in the lives of individuals families and communities around the world.

Job Description:

Overview:

As a Lead - Monitoring & Testing you will execute compliance testing engagements to assess the design and operating effectiveness of key regulatory controls across business units for Asia. You will play a critical role in strengthening the Regulatory Compliance Management (RCM) framework by identifying control gaps driving remediation and providing data-driven insights to stakeholders

Your scope of work / key responsibilities:

1. Testing Execution & Planning

• Develop and execute risk-based compliance test plans using standardized methodologies
• Define scope sampling approach and testing procedures
• Ensure consistency quality and adherence to enterprise testing standards

2. Fieldwork & Control Assessment

• Perform control walkthroughs and substantive sample testing to assess control design and operating effectiveness
• Apply data analytics techniques for sample selection and validation

3. Documentation & Reporting

• Document test procedures findings and evidence in working papers
• Prepare clear and concise Compliance Test Reports
• Maintain audit-ready documentation in tools such as Archer/SharePoint

4. Issue Identification & Remediation

• Identify control gaps root causes associated risks and provide recommendations to address the noted findings
• Assess adequacy of remediation plans

• Track and validate closure of issues and ensure sustainability of fixes

5. Stakeholder Management

• Collaboration with Business Units (1LoD) Compliance (2LoD) and SMEs
• Validate findings and ensure factual accuracy
• Present results and influence stakeholders for timely remediation

6. Governance & Continuous Improvement

• Contribute to enhancement of testing methodologies and frameworks

• Support regulatory inspections and internal audits
• Assist in development of dashboards MI reporting and trend analysis
• Support quality reviews of testing workpapers

Key Qualifications and experience

5 to 7 years of total working experience across the below-mentioned skills:

• Total Experience: 57 years
• Min Experience: 35 years in compliance testing / internal audit / risk management
• Mandatory Skills:
  • Compliance testing / internal audit experience
  • Strong understanding of RCM framework and control effectiveness assessment
  • Experience in sampling techniques and testing methodologies
  • Strong documentation and report writing skills
  • Stakeholder management and communication skills
  • Ability to evaluate and work in complex control environments
• Recommended Skills:
• Experience in financial services / insurance sector
• Knowledge of Compliance Pillars such as AML/Privacy/conduct Regulatory compliance and risk frameworks as applicable to FIs/Insurance is preferred
• Recognized professional accounting and compliance designations (e.g. CPA/CA CIA CAMS CIPM preferred)
• Prior experience in Corporate Function testing (such as IT HR Finance Tax Legal etc.) is preferred.
• Exposure to tools such as Archer SharePoint Tableau etc.
• Experience in data Analytics to perform exception-based testing
• Must have experience in executing end-to-end compliance testing engagements
• Ability to translate legislation and regulations into business impacts compliance elements and regulatory risks
• Must have knowledge of regulatory requirements and control frameworks
• Strong leadership and communication skills (verbal as well as written) for stakeholder engagement and influencing outcomes

Ability to operate in a deadline-focused environment

Job Category:

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