Compliance Specialist
Compliance Specialist
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Job Description
Manulife Investment Management is the global brand for the global wealth and asset management segment of Manulife Financial Corporation. We draw on more than a century of financial stewardship and the full resources of our parent company to serve individuals institutions and retirement plan members worldwide. Headquartered in Toronto our extensive capabilities in public and private markets are strengthened by an investment footprint that spans 19 geographies. We complement these capabilities by providing access to a network of unaffiliated asset managers from around the world. Were committed to investing responsibly across our businesses. We develop innovative global frameworks for balanced investing collaboratively engage with companies in our securities portfolios and maintain a high standard of stewardship where we own and operate assets and we believe in supporting financial well-being through our workplace retirement plans. Today plan sponsors around the world rely on our retirement plan administration and investment expertise to help their employees plan for save for and live a better retirement. Not all offerings are available in all jurisdictions. For additional information please visit .
The Compliance Specialist will be responsible for the review of sales marketing materials and other communications. This role will support Manulife Investment Management institutional public and private markets and retail business lines pursuant to Manulife IM Global Communications Policy and Guidelines; as well as applicable Canadian regulatory requirements and advise business partners to ensure material is Compliance Specialist will provide independent reviews of marketing materials and act a key advisor to the business as it pertains to NI 81-102 and internal Manulife policies and standards. The Compliance Specialist will also participate in project working groups pertaining to product launches and product changes.
In addition the Compliance Specialist provides advice to the business on their marketing and distribution activities in the context of the Canadian regulatory environment as well as any potential cross-border implications in the context of the global organization. Reviews will include but are not limited to; investment strategy presentations private fund presentations fund pitch books and other materials; fact sheets RFPs/RFIs social media web content and other such materials which may include both print and digital formats. In addition the Compliance Specialist will be responsible for tracking global industry best practices with a focus on continuous improvement.
Position Responsibilities:
- Support the development implementation and maintenance of CWAM Distribution Compliance-related policies and procedures that enable the firm to remain in compliance with regulatory requirements
Review of marketing materials (including advertisements presentations website pages brochures articles social media) to confirm the compliance with National Instrument 81-102 and internal Manulife Investment Management guidelines and policies
Work with the PMs product marketing teams on new strategies/ products/ distribution method and value-added service to provide risk-based compliance analysis and guidance to facilitate business initiatives
Monitor and stay abreast of distribution-related regulations and assess the impact to sales marketing and other communications materials
Create and conduct compliance training and consultation regarding the regulatory requirements and internal policies to related stakeholders as needed
Support the institutional side of the distribution compliance team projects such as ESG/sustainability GIPS automotive review initiatives and participate in other projects to support the compliance team and business partners as necessary
Provide advice to firm personnel regarding distribution compliance related matters
Act as an individual contributor set direction establish goals and manage the tasks assigned
Be capable of handling advanced compliance work
Share best practices with other team members thus ensuring consistency in the way business/process/products are developed and maintained to in compliance with regulatory and company requirements
Collaborate with all areas of the organization to ensure compliance needs and business goals are met
Assist team members with tasks and assignments as needed
Establish and maintain strong working relationships with the business units
Participate in industry forums/working group to stay current on regulatory trends and up to date with industry peer standards
Required Qualifications:
College/University Degree
3-5 years of related financial services compliance or management experience. Relevant work experience in Canada Mutual Fund industry
Familiarity with NI 81-102 and Canada Securities Law and a working knowledge of NI 31103 NI 81-105 NI 81-106 and NI 81-107 requirements related to investment funds and applicable securities regulations
Be well organized and able to handle a high volume of requests and inquiries from various business departments and deliver within tight timelines
This position requires an in-depth understanding of the mutual fund industry and its operational supporting functions and a strong knowledge of compliance and applicable regulatory requirements for Investment Fund Manager Portfolio Manager and Commodity Trading Manager categories of registration.
Proactive and self-motivated with strong problem-solving abilities and the ability to effectively prioritize in a diverse and fast paced environment
Strong written and verbal communication skills and organizational skills with a positive attitude and proven ability to negotiate and influence others to obtain desired results.
Strong technology skills including knowledge of applicable compliance or business systems
Strong ethical compass
Comprehensive knowledge of the financial services industry
Advanced understanding of the regulatory environment in which the Company operates and a strong understanding of key compliance requirements applicable to the business
Ability to work independently
Ability to facilitate decision making across groups in the company
Ability to embrace change strong change management skills.
Ability to analyze technical information make appropriate recommendations to decision makers and ability to make decisions
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
