Manager Trade Desk and Tier 2 Compliance

Manulife is looking for an experienced Manager Trade Desk and Tier 2 Compliance. This role reports to the Head Office Director for Manulife Wealth Inc. (MWI) a CIRO regulated investment dealer focusing on wealth management in Canada.

MWI has over one thousand advisors across Canada some of whom are portfolio managers mutual fund advisors or investment dealer advisors.

The candidate should have a strong understanding of the CIRO regulatory requirements Capital Markets as well as the dynamics of leading a Tier 2 team to achieve optimal compliance.

Position Responsibilities:

• Ensure that Compliance reviews are conducted in a high quality riskbased manner and appropriate followup actions are completed.

• Build strength of Compliance team and consistency in the application of the compliance program by actively leading team meetings driving team accomplishments.

• Effective recruitment retention and development of staff and the creation of a positive work environment that encourages participation ownership responsibility innovation initiative integrity and a sense of pride in the operations and in Manulife in general.

• Maintains a high 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.

• Previous or current licensing with CIRO as a retail Supervisor of Equities and Options preferably.

• Experience managing a team and working within the Tier 1 and 2 structure to drive and sustain a positive effective and efficient compliance regime.

• Familiar with CIRO regulations and ability to work well with other departments such as AML Privacy Marketing Trading Capital Markets Product Audit Registrations Complaints and Investigations.

• Ensure oversight of Best Execution and other Trade Desk review and reporting responsibilities of the Carrying Broker on behalf of MWI.

• Assist with effective responses to regulatory inquiries and audits.

• Identify processimprovement opportunities establish action plans and drive solutions to continuously improve the compliance testing program.

• Ensure team responds to and completes diligently to all supervisory inquiries.

• Provides Quarterly statistics and identifies and addresses any trends.

• Leads compliance tasks related to business initiatives with a project management mindset.

• Help create and improve workflow technology stack and supervisory reports.

• Knowledge of basic Capital Markets Prospectus and Deal reviews and Syndication practices.

• Ability to perform basic Due Diligence on issuers and related new issues.

• Understand Prospectus and Offering Memorandum issue dynamics.

• Understand and participate in the risk rating of various products within Portfolio Aid.

• Ensure team reviews employee and advisor trading including outside accounts.

• Electronic Communication review oversight.

• Help oversee Financial Planning compliance requirements.

• Update related policies and procedures and training as required.

• Support ad hoc strategic compliance projects and initiatives.

Required Qualifications:

• 8 years of relevant compliance and management experience

• CSC and CPH and Canadian dealer experience.

• Experience with Portfolio Aid Envestnet DataPhile and SharePoint MS Office tools

• Ability to leverage databases and analytics meaningfully.

• Independent learner Curiosity Diligence.

• Focus on detail and accuracy.

• Highly ethical pragmatic and actionoriented individual.

• Strong critical reading analysis verbal and written skills specifically report writing and delivery.

• Ability to apply regulations to situations with an appreciation for the business and client impact.

• Facility to translate sometimes complex regulations into clear plainlanguage action items or policies and procedures for the firm and advisors to follow.

• Collaborator who works well with colleagues and appreciates a riskfocused culture of compliance.

• Experience successfully leveraging technology to design and apply efficient and effective compliance solutions.

• Performanceminded driven and accountable.

• Ability to prioritize organize and complete work to a high standard.

• Ensure critical issues are surfaced and resolved promptly and properly.

Preferred Qualifications:

• IDSC

When you join our team:

• Well empower you to learn and grow the career you want.

• Well recognize and support you in a flexible environment where wellbeing and inclusion are more than just words.

• As part of our global team well support you in shaping the future you want to see.

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About Manulife and John Hancock

Manulife Financial Corporation is a leading international financial services provider helping people make their decisions easier and lives better. To learn more about us visit is an Equal Opportunity Employer

At Manulife/John Hancock we embrace our diversity. We strive to attract develop and retain a workforce that is as diverse as the customers we serve and to foster an inclusive work environment that embraces the strength of cultures and individuals. We are committed to fair recruitment retention advancement and compensation and we administer all of our practices and programs without discrimination on the basis of race ancestry place of origin colour ethnic origin citizenship religion or religious beliefs creed sex (including pregnancy and pregnancyrelated conditions) sexual orientation genetic characteristics veteran status gender identity gender expression age marital status family status disability or any other ground protected by applicable law.

It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will work with applicants who request a reasonable accommodation during the application process. All information shared during the accommodation request process will be stored and used in a manner that is consistent with applicable laws and Manulife/John Hancock policies. To request a reasonable accommodation in the application process contact .