Compliance and Finance Analyst
Toronto, ON CA
3d ago

Are you looking for unlimited opportunities to develop and succeed? With work that challenges and makes a difference, within a flexible and supportive environment, we can help our customers achieve their dreams and aspirations.

Job Description

The applicant is primarily accountable for delivering complete and accurate monthly reporting for Manulife Private Wealth ( MPW ).

This role will work closely with the Advisory Services and MIM Finance team on ongoing budgets (expense and sales, and long-term budgeting.

You will be the business lead on ensuring sales commission and reporting is accurate and timely. The compliance portion of this position is to review marketing materials and advertising which includes, investment strategy presentations, fact sheets, product profiles, manager commentaries, newsletters, social media and web content and other applicable documents which includes both print and video.

Also, act as a point of contact for all compliance related activities including regulatory requirements and audit, working with MPW Management and MAML compliance.


  • Monthly journals leading to MIS reporting for MPW
  • Expense analysis, reconciliation and reporting for MPW
  • Results submission to Finance
  • Balance sheet reconciliations for MPW, Annual plan for MPW Quarterly forecasts for MPW
  • Payroll preparation from MIS extract & NIC Report
  • Ad hoc business reporting

  • Communicate with management team at MPW regarding MIS package and results
  • Handle forecast and plan inputs with MPW management and discuss outputs ahead of submission
  • Work with finance to ensure that MPW’s plan data is correctly loaded onto the system and in a format ready for consolidation

  • Accountable to ensure the accurate review of marketing and advertising materials and other communications for MPW to ensure compliance with regulatory requirements.
  • Materials and communications include investment presentations, fact sheets, product profiles, market and investment commentaries, thought leadership articles, newsletters, social media and web content, and other applicable documents which include both print and video.

  • Collaborate on compliance team projects as necessary as part of MAM compliance team.
  • Coordinating activities supporting the Annual Compliance Assessment and Training programs.
  • Ensure compliance manual is being adhered to and ensure it is up to date with regulatory and business changes.
  • Act as the compliance resource and lead for all regulatory updates and ensure we align with MAM policies.
  • Assist in the coordination of any internal or external business audits

  • Minimum of an undergraduate degree in accounting, finance or business
  • A professional accounting designation (CA, CMA, CGA) preferred or equivalent work experience in finance
  • At least 3 years’ experience in a finance role and, 3 or more years of compliance experience in the financial services industry preferably with investment advisor experience.
  • Strong written and oral communication skills, this position collaborates with senior executives and requires an ability to explain results and variances clearly and succinctly
  • Advanced working knowledge of Microsoft Excel (VBA & Macro experience preferred)
  • Ability to collaborate and negotiate with marketing, sales administration and product groups. Excellent communication skills, including presentation and meeting facilitation skills
  • Prior compliance experience supporting an investment counsel firm with advanced knowledge of investment products.
  • Experience with SQL highly preferred
  • Familiarity with HNW discretionary management is supported

  • Well organized and detailed in approach, with good follow-through
  • Ability to take initiative, work independently and establish priorities
  • Strong analytical skills and ability to assimilate and summarize a large amount of information
  • Ability to relate and build rapport with all levels of staff including Senior Management
  • Ability to handle multiple streams of work with challenging deadlines (month-end reporting).
  • Ability to improve efficiencies within existing or new reporting requirements
  • If you are ready to unleash your potential, it’s time to start your career with Manulife / John Hancock.

    About Manulife

    Manulife Financial Corporation is a leading international financial services group that helps people make their decisions easier and lives better.

    We operate primarily as John Hancock in the United States and Manulife elsewhere. We provide financial advice, insurance, as well as wealth and asset management solutions for individuals, groups and institutions.

    At the end of 2018, we had more than 34,000 employees, over 82,000 agents, and thousands of distribution partners, serving almost 28 million customers.

    As of June 30, 2019, we had over $1.1 trillion (US$877 billion) in assets under management and administration, and in the previous 12 months we made $29.

    4 billion in payments to our customers. Our principal operations in Asia, Canada and the United States are where we have served customers for more than 100 years.

    With our global headquarters in Toronto, Canada, we trade as 'MFC' on the Toronto, New York, and the Philippine stock exchanges and under '945' in Hong Kong.

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