Compliance Officer - Policy, Training and Workflow (CO)
Compliance Officer - Policy, Training and Workflow (CO)
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Job Description
We are a leading financial services provider regulated by CIRO committed to making decisions easier and lives better for our customers and colleagues around the world. From our environmental initiatives to our community investments we lead with values throughout our business. To help us stand out we help you step up because when colleagues are healthy respected and meaningfully challenged we all thrive. Discover how you can grow your career make impact and drive real change with our Winning Team today.
Reporting to the Manager Compliance Policy Training and Workflow the Compliance Officer leverages extensive knowledge of CIRO and securities regulatory requirements to ensure dealer policies training and workflows are up-to-date and effective. This program allows the firm to supervise effectively and efficiently delivering relevant policies training and updates using modern technology and workflow solutions.
Position Responsibilities:
Assist with developing and delivering policies and training programs to equip advisors and staff with the necessary regulatory knowledge.
Implement and oversee continuous improvements in workflow technology to provide top-tier training to staff and advisors.
Provide support and subject matter expertise on policy-related queries forwarded by other teams within the department and business unit.
Complete the annual Policy and Procedure review process.
Maintain accurate records of compliance training completion and reporting.
Monitor and manage the team inbox to address inquiries regarding advisor training and the compliance and ethics questionnaire. Log unresolved issues and collaborate with the support desk for timely resolution.
Create content for the Compliance newsletter and Latest Compliance News to communicate key policy changes to advisors and staff.
Collaborate with the Manager of Policy Training and Workflow to identify and implement process improvements within the compliance team leveraging end-user technology and partnering with technology experts for complex solutions.
Utilize cutting-edge technology including AI-based tools to enhance compliance processes.
Assist in developing SharePoint sites creating Power BI reports and dashboards and utilizing Power Automate and MS Forms to automate workflows and improve efficiency. Provide technical support and training to end users as needed.
Manage the departments Records and Information programs as the Department Records Specialist. Provide record management guidance and liaise with the divisional records officer on compliance requirements. Conduct yearly reviews of departmental records and develop retention schedules for the divisional records destruction program.
Ensure the Regulatory Compliance Management Program is maintained and oversee the timely completion of Risk and Control Assessments and Yearly Certification of Archer records.
Ensure the completion of annual attestations within the Compliance department including the Conflicts of Interest Inventory Compliance Manual and Inventory of Regulatory Requirements.
Research develop coordinate implement and participate in special projects that are assigned by the reporting manager.
Build and maintain strong collaborative relationships with Advisory Services management and departments and other Canadian Division business units.
Required Qualifications:
Bachelors Degree College Diploma or relevant industry courses strongly preferred
2 years of compliance experience in the financial services industry.
Strong capability to use and implement modern technology particularly AI-based tools
Knowledge of CIRO rules and the Securities Act and relevant legislation and regulatory framework and requirements.
Strong understanding of CIRO requirements and industry best practices.
Ability to manage and optimize workflow technology for effective training delivery.
Excellent technology skills: SharePoint Power BI Power Automate Word Excel PowerPoint Outlook Adobe Acrobat
Solid ability to communicate sophisticated information clearly both verbally and in writing issues and circumstances to all levels of staff and management including senior management.
Excellent planning organizational problem solving project management and risk management skills.
Strong leadership and social skills to empower staff and exert influence across multiple levels of management.
Strong presentation skills
Able to assess and handle challenging business unit priorities.
Self-starter with ability to complete tasks properly.
Ability to be flexible and adaptable to change.
Comfortable working with a wide variety of internal and third-party information systems.
Preferred Qualifications:
Specific Industry certification is preferred including the Canadian Securities Course and the Conduct and Practices Handbook Exam.
Bilingualism (English & French) an asset.
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 well-being and inclusion are more than just words.
As part of our global team well support you in shaping the future you want to see.
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 pregnancy-related 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
$61350.00 CAD - $102250.00 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 job-related 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 long-term 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 U.S.-specific paid time off provisions.
Required Experience:
Unclear Seniority
Employment Type
Full-Time
