Compliance Officer

As a Compliance Officer (CO), your objective is to directly conduct and provide compliance monitoring, direction, advice and support for Manulife Wealth to provide reasonable assurance that:

• The dealer and its employees/agents follow securities regulatory requirements and internal policies and procedures;

• The risk or reputational damage, regulatory sanction and disciplinary actions, client complaints and civil litigation is low.

• Compliance violations and risk situations are actively identified, investigated and resolved or raised in an appropriate and timely manner

The dealer’s employees /agents receive high-quality, accurate and timely compliance direction, advice, support and service and employees /agents are educated on their compliance responsibilities and requirements.

You will lead head office Tier 2 compliance activities for assigned regional groups adhering to regulatory requirements (those established by securities regulations and Self-Regulatory Organizations (SRO) including CIRO as well as internal policies and procedures.

Position Responsibilities:

• Independently conducts relevant research and arrives at conclusions and/or recommendations based on the exercise of good judgement on moderately sophisticated issues. Matters that are: i) of an advanced sophisticated nature in which further mentorship is needed or ii) fall outside of existing policies are raised to the Senior Compliance Officer for assistance. Critical matters are immediately advanced to the Manager Tier 2 Compliance.

• Actively identifies violations of regulatory requirements, internal policies and procedures or other risk situation at an early stage. Inquiries and investigations in relation to such situation are conducted on time as well as applying appropriate corrective actions and/or risk mitigation activities.

• Compliance review procedures are conducted in a high quality, risk-based manner and appropriate follow-up actions are taken.

• Conducts head office compliance oversight (Tier II surveillance duties) by reviewing reports in accordance with applicable regulatory requirements and internal policies and procedures to detect violations and potential violations warranting further investigation.

• Conducts specific purpose compliance reviews, in order to identify potential compliance gaps, either on an active basis or as prompted by events such as client complaints, regulatory investigations, etc.

• Participate in special projects requiring specialist compliance input and expertise.

• Assists in identifying gaps in the existing compliance program and participated in developing, maintaining and implementing changes to the firm’s compliance policies and procedures.

• Maintains a level of awareness of compliance related changes and developments in the securities industry through review of publications, participation in industry associations, employee development initiative, etc.

• Complete other duties and project as assigned from time to time including, but not limited to, acting as back-up to colleagues.

Required Qualifications:

• College Diploma or University Degree required.

• Over 3 years of relevant investment proven experience, preferably with a CIRO and/or MFDA member firm, in a compliance role or other relevant functional area (e.g. trading, operations, sales)

• Knowledge and understanding of the firm’s compliance policies and procedures and the practical application of relevant provincial securities and SRO (CIRO, Exchanges) rules and regulations and other applicable regulatory requirements, such as AML/CTF and Privacy.

• Deep understanding of the general characteristics, attribute and risk factors associate with various securities and investment strategies for assessing matter such as suitability and legitimacy of investment activities.

• Deep understanding of the firm’s business practices, organizational structure and general policies and procedures.

• Proven understanding of laws governing matters such as powers of attorney, trust, estates, unclaimed property and similar as they relate to the operation of brokerage and mutual fund dealer accounts.

• Strong written and verbal business communication skills.

• Proficient knowledge of Microsoft applications (including Word, Excel and Power Point) and familiarity with the internet and related applications as tools.

• Capable of simultaneously prioritizing multiple task and meeting strict deadlines.

• Well-developed inter-personal skills to provide a high-level o of service and maintain working relationships with assigned groups and team members.

• Able to recognize and handle confidential information.

• Self-motivate, confident and capable of working both independently and in a team environment.

• Outstanding planning, organizational and time management skills.

• Preferred Qualifications:

• Prior or ongoing completion of Canadian Securities Institute (CSI) securities courses: Canadian Securities Course, Conduct and Practices Handbook Course and the Investment Dealers Supervisors course is considered an asset

• Bilingualism (French, English, both oral and written) is an asset as we support English and French-speaking clients across Canada.

When you join our team:

• We’ll empower you to learn and grow the career you want.

• We’ll recognize and support you in a flexible environment where well-being and inclusion are more than just words.

• As part of our global team, we’ll support you in shaping the future you want to see.

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À propos de Manuvie et de John Hancock

La Société Financière Manuvie est un chef de file mondial des services financiers qui aide les gens à prendre leurs décisions plus facilement et à vivre mieux. Pour en apprendre plus à notre sujet, rendez vous à l’adresse www.manuvie.com.

Manuvie est un employeur qui souscrit au principe de l’égalité d’accès à l’emploi

Chez Manulife/John Hancock nous valorisons notre diversité. Nous nous efforçons d’attirer, de perfectionner et de maintenir une main d'oeuvre qui est aussi diversifiée que nos clients, et de favoriser la création d’un milieu de travail inclusif qui met à profit la diversité de nos employés et les compétences de chacun. Nous nous engageons à assurer un recrutement, une fidélisation, une promotion et une rémunération équitables, et nous administrons toutes nos pratiques et tous nos programmes sans discrimination en raison de la race, de l’ascendance, du lieu d’origine, de la couleur, de l’origine ethnique, de la citoyenneté, de la religion ou des croyances ou des convictions religieuses, du genre (y compris grossesse et affection liée à une grossesse), de l’orientation sexuelle, des caractéristiques génétiques, du statut d’ancien combattant, de l’identité de genre, de l’expression de genre, de l’âge, de l’état matrimonial, de la situation de famille, d’une invalidité ou de tout autre motif protégé par la loi applicable.

Nous nous sommes donné comme priorité d’éliminer les obstacles à l’accès égalitaire à l’emploi. C’est pourquoi un représentant des Ressources humaines collaborera avec les candidats qui demandent accommodement raisonnable pendant le recrutement. Tous les renseignements communiqués pendant le processus de demande d'accommodement seront stockés et utilisés conformément aux lois et aux politiques applicables de Manuvie. Pour demander une mesure d’accommodement raisonnable dans le cadre du recrutement, écrivez à recruitment@manulife.com.

Région de référence du salaire

Modalités de travail

L’échelle salariale devrait se situer entre

Si vous posez votre candidature à ce poste en dehors de la région principale, veuillez écrire à recruitment@manulife.com pour obtenir l’échelle salariale correspondant à votre région. Le salaire varie en fonction des conditions du marché local, de la géographie et de facteurs pertinents liés au poste telles les connaissances, les compétences, les qualifications, l’expérience et l’éducation ou la formation. Les employés ont également la possibilité de participer à des programmes de motivation et de toucher une rémunération incitative liée au rendement de l’entreprise et au rendement individuel.

Manuvie offre aux employés admissibles une vaste gamme d’avantages sociaux personnalisables, notamment une assurance soins médicaux, soins dentaires, santé mentale, soins de la vue, invalidité de courte et de longue durée, assurance vie et assurance DMA, assurance adoption, de maternité de substitution et de soins médicaux non urgents ainsi que des programmes d’aide aux employés et leur famille. Nous proposons également aux employés admissibles différents régimes d’épargne-retraite (y compris des régimes de rente et un programme international d’actionnariat assortie de cotisations patronales de contrepartie) ainsi que des ressources en matière d’éducation et de conseils financiers. Notre généreux programme de congés rémunérés au Canada comprend les jours fériés, les congés annuels, les congés personnels et les congés de maladie, et nous offrons toute la gamme des congés autorisés prévus par la loi. Si vous posez votre candidature à ce poste aux États-Unis, veuillez écrire à recruitment@manulife.com pour obtenir de plus amples renseignements sur les dispositions relatives aux congés rémunérés spécifiques aux États-Unis.