Overview

Description

  • Are you looking for unlimited opportunities to develop and succeed? With work that challenges and makes a difference and a flexible and supportive environment, we can help our customers achieve their dreams and aspirations.
  • Reporting to the Manager Investment Compliance, the Compliance Officer is responsible for responding to compliance inquiries from the business and escalating issues to management as necessary. The working environment is both progressive and dynamic, where innovation is encouraged and existing processes are continually being enhanced.

Key Accountabilities:

  • Identify and assess mutual fund and private client portfolio compliance issues with applicable regulations including the National Instruments, the Securities Act (Ontario), as well as Manulife Asset Management policies and procedure
  • Assist in the review of Sub-Advisors and participate in regular risk assessments to ensure compliance with regulatory and internal requirements.
  • Liaise with business partners on the development and launch of new products and provide guidance from a regulatory perspective.
  • Complete and submit monthly, semi-annual and annual regulatory filings.
  • Assist in the development of the Compliance program at Manulife Asset Management through effective communication with business partners and active participation in projects and discussions aimed at evolving the overall compliance culture
  • Respond to compliance inquiries from all areas of the business unit.
  • Monitor and report legislative and industry updates to compliance team and business partners
  • Create and prepare memos, reports and bulletins communicating regulatory updates of compliance issues for distribution internally or to various committees in a concise and professional manner
  • Consult with the Business Unit Compliance Officer and/or the Law Department to assess legal risks on complex cases or business decisions.
  • Support the compliance team in responding to audits and regulatory reviews
  • Receive other duties as assigned by the Manager and Chief Compliance Officer.
  • Cross-train and provide back-up to other Compliance Officers as required.

Qualifications

  • 1-3 years of related experience in the financial services industry in a compliance capacity, or other professional capacity requiring analytic ability
  • Successful completion of the Canadian Securities Course or relevant work.
  • Enrollment in the CFA Institute Exam is an asset
  • Ability to develop and maintain strong relationships with compliance team members
  • Excellent organizational skills with the ability to meet deadlines in a fast paced environment with changing priorities
  • Ability to work with multiple objectives, and conflicting priorities.
  • Ability to readily recognize the impact of current or potential compliance issues.
  • Ability to develop and deliver effective communication to improve business unit understanding of compliance issues.
  • Strong written and verbal communication skills, with the ability to simplify complicated messages relating to compliance issues.
  • Bloomberg experience and CMGR/ VMGR Module experience is an asset

 Key Problems/Challenges:

  • Exercise judgment in identifying and escalating issues, challenging courses of action, assessing risks and modifying plans as business conditions change.
  • Interpret and understand complex regulations to determine impact to business
  • React quickly to legislative changes by assessing the impact on the business.
  • Balance business needs against the policies, procedures and practices necessary to ensure compliance with regulatory obligations.
  • Deal with clients on sensitive issues that could be exposed to the media or regulators.

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