Compliance Senior Specialist
Compliance Senior Specialist
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Job Description
The Investment Compliance team is seeking looking for a Compliance Senior Specialist to join the team. In this role you will provide investment compliance/trade monitoring support to ensure compliance with applicable regulatory requirements and internal policies and procedures. The position plays a critical role ensuring that the Company has an appropriate global model in place for investment monitoring activities that include but not limited to account management/new account onboarding activities monitoring and system usage by ensuring key controls and standards are in place globally.
The focus of the role will be North America/Europe role but will also involve supporting the business in developing standards to align monitoring activities and participate in projects and key initiatives to ensure best practices policies and procedures are adhered to globally.
Position Responsibilities:
Review account documentation and collaborate with local trade monitoring teams client relationship management product legal and front office to obtain guideline interpretative clarifications for restrictions and portfolio monitoring
Develop implement and ensure adherence to required controls and monitoring best practices and standards to ensure consistency in the way business/process/products are developed and maintained provide training as needed
Provide ad hoc monitoring and regulatory advice to Trading Operations Compliance monitoring teams (BAU) to ensure awareness and understanding of relevant regulations
Collaborate with front middle and back office to ensure effective business controls in place to prevent detect and correct violations of regulatory and contractual requirements as it relates to portfolio monitoring
Keeps abreast of regulatory developments and assess impact on business operations; support the development implementation and maintenance of policies and procedures that enable the firm to remain in compliance with regulatory requirements
Engage with internal teams and external vendors to communicate deficiencies; gather compliance requirements; and incorporate systemic enhancements and changes
Contribute to design and implementation of new critical investment initiatives by identifying key compliance requirements assessing gaps and risk exposures
Assist management and other business unit partners in ad hoc compliance related projects as assigned
Required Qualifications:
Minimum 23 years of related financial services audit compliance or legal experience
Experience coding compliance rules within an order management system such as Bloomberg AIM Charles River (CRD) BlackRock Aladdin and/or similar systems preferred
Detailoriented
Ability to demonstrate a high degree of initiative and a strong commitment to meeting deadlines
Able to prioritize and reprioritize work deliverables and projects for internal clients based on changing business needs
Ability to work independently and as part of a team
Ability to facilitate decision making across groups in the company
Ability to analyze information make appropriate recommendations
Excellent organizational prioritization and time management skills
Knowledge of investment industry and international financial markets
Strong verbal and written communication skills
Strong project management skills with an ability to understand business processes and their risk implications analyze complex situations reach appropriate conclusions and make valueadded and practical recommendations
Preferred Qualifications:
BlackRock Aladdin experience
Knowledge and monitoring experience of securities laws and regulations such as Advisers Act Investment Company Act NI 81102 and UCITS
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.
#LIHybrid
#LIJH
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 .
Referenced Salary Location
Toronto OntarioWorking Arrangement
Salary range is expected to be between
$71925.00 CAD $119875.00 CADIf you are applying for this role outside of the primary location please contact for the salary range for your location. The actual salary will vary depending on local market conditions geography and relevant jobrelated factors such as knowledge skills qualifications experience and education/training. Employees also have the opportunity to participate in incentive programs and earn incentive compensation tied to business and individual performance.
Manulife offers eligible employees a wide array of customizable benefits including health dental mental health vision short and longterm disability life and AD&D insurance coverage adoption/surrogacy and wellness benefits and employee/family assistance plans. We also offer eligible employees various retirement savings plans (including pension and a global share ownership plan with employer matching contributions) and financial education and counseling resources. Our generous paid time off program in Canada includes holidays vacation personal and sick days and we offer the full range of statutory leaves of absence. If you are applying for this role in the U.S. please contact for more information about paid time off provisions.
Required Experience:
Senior IC
Employment Type
Full-Time
