Compliance Officer

• directly conduct and provide compliance monitoring, direction, advice and support for Manulife Wealth to provide reasonable assurance
• lead head office Tier 2 compliance activities for assigned regional groups adhering to regulatory requirements
• 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 firm’s compliance policies and procedures

Requirements

• 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 firm’s 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 firm’s 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

🔍 ATS Optimization Keywords
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Hard Skills

• compliance monitoring
• regulatory requirements
• risk mitigation
• compliance review procedures
• investigations
• AML/CTF
• securities rules
• investment strategies
• laws governing brokerage accounts
• compliance policies

Soft Skills

• written communication
• verbal communication
• prioritization
• interpersonal skills
• confidentiality
• self-motivation
• teamwork
• planning
• organizational skills
• time management

Certifications & Qualifications

• College Diploma
• University Degree