Senior Compliance Officer, Policy Development
Oakville, ON CA
5d 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

Reporting to the Director, Regulatory Compliance Management and Reporting, the Senior Compliance Officer, Policy Development, provides leadership and strategic development to policy development and implementation in the Manulife Securities IIROC and MFDA dealers.

The Senior Compliance Officer, Policy Development, uses in-depth knowledge of IIROC, MFDA and securities regulatory requirements, dealer policies, products and programs to monitor regulatory developments and implement changes to dealer policies.

You have a solid understanding of the products and programs offered by Manulife Securities as well as a high level of regulatory and industry knowledge and experience.

The Chief Compliance Officer, Advisory Services, will rely extensively on the Manager’s knowledge in the development and continuous improvement of policy and product compliance programs.

Key Accountabilities :

  • Lead all aspects of and run the department policy change process :
  • Build new content or revise existing content for dealer policies, procedures, guides, standards, forms or other reference materials (advisor-facing and internal).
  • Liaise with subject matter experts, leaders and senior management in the department and the business to ensure the accuracy of content and compliance with securities laws and regulatory requirements.
  • Obtain and document all required approvals.
  • Build content for the Compliance newsletter to communicate key policy changes to advisors and staff.
  • Provide support and subject matter expertise on policy-related queries forwarded by other teams within the department and business unit.
  • Lead the Advisory Services Compliance framework to effectively support the Advisory Services Compliance Program by : Efficient and timely development and maintenance of procedures and processes.
  • Effective implementation through partner engagement (including operations, technology and business management).Timely reporting and escalation of issues and risks.

  • Manage and develop Advisory Services’ relationships with regulators by : Ensuring positive and cooperative ongoing engagement,Managing regulatory audits, engagements and ad hoc enquiries communicating, advising, and reporting to Advisory Services compliance and senior management as appropriate,Ensuring regulator identified issues, deficiencies and risks are managed to closure within agreed timelines, andAdvising and guiding internal partners on regulatory expectations and the regulatory environment.
  • Advisory Services Regulatory Risk Management Program (RRMP)Support the Advisory Services RRMP by maintaining and updating internal program documentation.
  • Provide training to department leaders and senior managers on their roles and responsibilities as record owners in the Advisory Services RRMP program.

    Assist department leaders and senior managers with the creation and maintenance of Compliance, Risk and Controls Assessment and Issue records in the Compliance Management Database (CMDb Archer ).

    Interview and collect information from Legal, Finance and Operations leaders and senior management to support Risk and Controls assessments conducted by the Director, Head Office Compliance.

  • Provide program compliance subject matter expertise on strategic initiatives and projects, including new program offerings, to ensure they adequately encompass compliance elements.
  • Act as representative of Compliance program on strategic initiatives and projects.Partner effectively with strategic, business, and operations partners.

  • Administer and support the adoption of Compliance electronic infrastructure, including the Information Mapping, Archer, Advisory Services SharePoint and electronic workflow.
  • Undertake data collection, analysis and preparation of reports required for senior management, regulators, and other interested parties as required.
  • Build and maintain strong collaborative relationships with Advisory Services management and departments and other Canadian Division business units.
  • Ensure that necessary and appropriate information is communicated to compliance department management and partners in a clear and timely manner.
  • Participate in industry forums, to understand new policy and regulatory issues facing the Advisory Services compliance program.
  • Research, develop, coordinate, execute and lead special projects that are assigned by the reporting manager.
  • Job Requirement (Experience, Knowledge) :

  • Bachelor's Degree or College Diploma
  • Industry certification is preferred, including the Canadian Securities Course and the Conduct and Practices Handbook Exam.
  • 5-10 years of senior compliance experience in the financial services industry
  • In-depth knowledge of securities (both MFDA and IIROC) legislation and regulatory framework and requirements
  • Advanced knowledge of securities industries, gained through experience, course study and / or involvement in industry associations and working groups
  • Excellent knowledge of administrative processes and procedures
  • Proficient PC skills (Word, Excel, PowerPoint, Outlook and Adobe Acrobat)
  • Archer experience preferred
  • What will be expected from Me?

  • Solid ability to communicate complex information clearly. Able to explain verbally and in writing issues and circumstances to all levels of staff and management, including senior management and executives
  • Excellent planning, organizational, problem solving and risk management skills
  • Strong leadership and interpersonal skills to motivate staff and exert influence across multiple levels of management
  • Excellent written and verbal communication; and strong presentation skills
  • Able to assess and manage competing business unit priorities, industry associations, provincial and regulatory bodies
  • Self-starter
  • Ability to be flexible and adaptable to change
  • Comfortable working with a wide variety of internal information systems
  • Bilingualism (English & French) an asset
  • What we bring

  • A bold ambition and set of goals to drive transformation in our industry
  • A mission for Decisions made easier. Lives made better.
  • A leadership team dedicated to your growth and success
  • Our best. Every day.
  • 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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