Director Compliance, Designated Complaints Officer

The Designated Complaints Officer (DCO) will manage the Complaints & Regulatory Investigations team, which is part of the Compliance department at Manulife Wealth Inc (MWI), a member firm of the Canadian Investment Regulatory Organization of Canada (CIRO). The DCO is a registered title and role.

MWI is responsible for ensuring regulatory and legislative requirements relating to client complaint handling and internal and regulatory investigations are met. This department also assesses compliance, regulatory, legal, and reputational risk to the firm, identifying areas of non-compliance through the complaint handling and investigation process and advancing to the appropriate areas for resolution.

This role is based in our Burlington office. Manulife offers a hybrid work arrangement (Tuesday, Wednesday, Thursday) in the office.

Position Responsibilities:

• The DCO reports directly to the CCO, and has two direct reports, but is expected to work closely with MWI legal counsel, sometimes external counsel, and MWI’s vendor partners and insurance carriers and brokers.

• The DCO is expected to stay attuned to regulatory, legislative and enforcement trends and developments which can impact MWI. This can be achieved by attending regulatory events in person or in webinars, and other events, as required.

• The DCO will be expected to have experience and skill at leading sometimes complex, confidential, time-sensitive investigations by themselves or with the team or with MWI’s global investigative services team.

• The DCO should be familiar with relevant sections of the Securities Act, Ontario, and the CIRO rulebook, as well as past industry regulatory precedents to help guide MWI to the right outcomes.

• MWI also has an insurance distribution affiliate, for which the DCO must be comfortable addressing complaints or investigations that span this coverage area.

• The DCO must be comfortable with providing timely reporting to the CCO, and must know or be willing to learn SharePoint, as well as the traditional Microsoft suite of software tools.

• The DCO must have superior written and verbal communication skills to address issues expertly with regulators and customers. They must also be comfortable with occasional difficult investigations or negotiations. Attention to detail, deep due diligence, curiosity, and prompt follow up are required to conclude investigations optimally.

• The DCO must be an authority in the complaint handling and investigation process. They will be expected to lead and conduct sophisticated and higher risk complaint and internal investigations ensuring thorough due diligence, communicating, and corresponding with interested parties, preparing, and delivering analyses and reports, handling related records and documentation, and delivering detailed and appropriate recommendations for resolution within regulatory or agreed timelines.

• The role will liaise with other departments at MWI, other business divisions within Manulife affiliates, and external organizations, such as regulators and insurance providers, as required.

Key Accountabilities:

• Handle Client Complaints & Regulatory Investigations.

• Lead staff of two and their investigations.

• Growth mindset for adopting new opportunities.

• Oversee the end-to-end client complaint process for assigned complaints, including:

• Investigate allegations and prepare substantive response letters for client complaints or investigation reports for allegations of advisor misconduct.

• Handle the collection of information and documents from advisors through Compliance staff and other departments where applicable.

• Act as a primary contact for the dealer in matters involving the Errors & Omissions (E&O) insurance provider.

• Follow the appropriate protocol determined by complaint or investigation type (i.e. advanced complaint, high profile investigation).

• Recommend appropriate settlement offers in respect of client complaints and disciplinary sanctions in respect of advisor misconduct.

• Act as primary contact for, and responsible for response to, regulatory inquiries and matters advanced to CIRO, OSC, AMF, FSRA, OBSI, for assigned complaints.

• Raise issues as required to the CCO.

• Lead and conduct internal investigations, as assigned, including gathering and interpreting data and documentation, liaising with legal and regulators, as required, and preparing investigation reports.

• Act as Subject Matter Authority for assigned complaints and/or other files communicating pertinent information to internal and external partners and Senior Management as required.

• Provide guidance to Compliance staff in respect of client complaints and internal advisor conduct reviews and/or investigations.

Communication

• Interview advisors, clients and employees as needed throughout the complaint handling and investigation process.

• Handle complaint/investigation related communication between clients, advisors, and regulators.

• Liaise, as required, with other departments at Manulife Securities (i.e. Legal, Finance, Operations etc.) and other business divisions with Canadian Division to ensure that all reviews and/or investigations are conducted in a thorough manner.

• Provide updates to Management, including the Compliance Committee, as required.

Reporting and Database Management

• For assigned complaints and investigations, maintain the complaints database, SharePoint site and investigations database ensuring client complaints and advisor reviews/investigations are logged and accurate.

• Prepare and deliver internal reports to the CCO on assigned complaints and investigations.

• Prepare and deliver external reporting to CIRO, FSRA, OSC, and AMF as required by regulations.

Projects and Initiatives

• Participate in or lead special projects within the compliance department and/or represent Compliance in discussions with other departments.

• Participate in branch reviews as part of the complaint/investigation process or to assist the branch review team.

• Participate in initiatives that may involve other Canadian Division groups.

• Participate with industry groups and conferences.

• Act as a resource to other Complaints & Regulatory Investigations team officers.

Required Qualifications:

• Management experience.

• Minimum five years industry experience with three years of direct experience responding to client complaints, conducting internal investigations and/or responding to regulatory inquiries and investigations.

• CIRO dealer experience required.

• Superior knowledge and understanding of regulatory, legal, and other issues facing the securities industry.

• Able to operate independently and meet deadlines with limited direct supervision.

• Superior customer service skills.

• Experience conducting interviews and handling challenging discussions with clients, advisors, and regulators.

• Excellent analytical, research/investigative, organization, problem solving, decision making, planning, conflict management skills.

• Above average written communication skills: ability to convey sophisticated ideas and legal requirements in plain language and assess appropriate level of detail.

• Proficiency in Microsoft Suite: SharePoint, Excel, Word, PowerPoint

Preferred Qualifications:

• Successful completion of the Canadian Securities Course and Conduct & Practices Handbook.

• Branch Managers Course.

• Insurance compliance experience.

• Bilingual English and French language, verbal, and written skills.

• Experience reviewing leverage loans, stock options complaints.

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.

#LI-Hybrid

Le poste annoncé correspond à une vacance existante.

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.

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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 hr@manulife.com pour obtenir de plus amples renseignements sur les dispositions relatives aux congés rémunérés spécifiques aux États-Unis.

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