Compliance Officer
Compliance Officer
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Job Description
As a Compliance Officer (CO) your objective is to directly conduct and provide compliance monitoring direction advice and support for Manulife Wealth to provide reasonable assurance that:
The dealer and its employees/agents follow securities regulatory requirements and internal policies and procedures;
The risk or reputational damage regulatory sanction and disciplinary actions client complaints and civil litigation is low.
Compliance violations and risk situations are actively identified investigated and resolved or raised in an appropriate and timely manner
The dealers employees /agents receive high-quality accurate and timely compliance direction advice support and service and employees /agents are educated on their compliance responsibilities and requirements.
You will lead head office Tier 2 compliance activities for assigned regional groups adhering to regulatory requirements (those established by securities regulations and Self-Regulatory Organizations (SRO) including CIRO as well as internal policies and procedures.
Position Responsibilities:
Independently conducts relevant research and arrives at conclusions and/or recommendations based on the exercise of good judgement on moderately sophisticated issues. Matters that are: i) of an advanced sophisticated nature in which further mentorship is needed or ii) fall outside of existing policies are raised to the Senior Compliance Officer for assistance. Critical matters are immediately advanced to the Manager Tier 2 Compliance.
Actively identifies violations of regulatory requirements internal policies and procedures or other risk situation at an early stage. Inquiries and investigations in relation to such situation are conducted on time as well as applying appropriate corrective actions and/or risk mitigation activities.
Compliance review procedures are conducted in a high quality risk-based manner and appropriate follow-up actions are taken.
Conducts head office compliance oversight (Tier II surveillance duties) by reviewing reports in accordance with applicable regulatory requirements and internal policies and procedures to detect violations and potential violations warranting further investigation.
Conducts specific purpose compliance reviews in order to identify potential compliance gaps either on an active basis or as prompted by events such as client complaints regulatory investigations etc.
Participate in special projects requiring specialist compliance input and expertise.
Assists in identifying gaps in the existing compliance program and participated in developing maintaining and implementing changes to the firms compliance policies and procedures.
Maintains a 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.
Complete other duties and project as assigned from time to time including but not limited to acting as back-up to colleagues.
Required Qualifications:
College Diploma or University Degree required.
Over 3 years of relevant investment proven experience preferably with a CIRO and/or MFDA member firm in a compliance role or other relevant functional area (e.g. trading operations sales)
Knowledge and understanding of the firms compliance policies and procedures and the practical application of relevant provincial securities and SRO (CIRO Exchanges) rules and regulations and other applicable regulatory requirements such as AML/CTF and Privacy.
Deep understanding of the general characteristics attribute and risk factors associate with various securities and investment strategies for assessing matter such as suitability and legitimacy of investment activities.
Deep understanding of the firms business practices organizational structure and general policies and procedures.
Proven understanding of laws governing matters such as powers of attorney trust estates unclaimed property and similar as they relate to the operation of brokerage and mutual fund dealer accounts.
Strong written and verbal business communication skills.
Proficient knowledge of Microsoft applications (including Word Excel and Power Point) and familiarity with the internet and related applications as tools.
Capable of simultaneously prioritizing multiple task and meeting strict deadlines.
Well-developed inter-personal skills to provide a high-level o of service and maintain working relationships with assigned groups and team members.
Able to recognize and handle confidential information.
Self-motivate confident and capable of working both independently and in a team environment.
Outstanding planning organizational and time management skills.
Preferred Qualifications:
Prior or ongoing completion of Canadian Securities Institute (CSI) securities courses: Canadian Securities Course Conduct and Practices Handbook Course and the Investment Dealers Supervisors course is considered an asset
Bilingualism (French English both oral and written) is an asset as we support English and French-speaking clients across Canada.
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.
#LI-Hybrid
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
$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 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
