We are a leading financial services provider committed to making decisions easier and lives better for our customers and colleagues around the world. From our environmental initiatives to our community investments, we lead with values throughout our business. To help us stand out, we help you step up, because when colleagues are healthy, respected and meaningfully challenged, we all thrive. Discover how you can grow your career, make impact and drive real change with our Winning Team today.

Working Arrangement

Hybrid

Job Description

Compliance Manager, Distribution Communications

This role reports directly to the Associate Vice President (AVP), Head of the Distribution Compliance Center of Expertise for Manulife Investment Management Canada (MIM), while also matrix reporting to the Chief Compliance Officer of Manulife Wealth Inc, a CIRO member firm.

The manager is responsible for providing dedicated dealer sales and marketing compliance oversight, leadership, expertise, guidance and supervision for sales and marketing material for Manulife Wealth's approximately 1200 advisors across Canada. The manager is responsible for the growth and oversight of the dedicated sales communications compliance team using modern software to help track, review and approve marketing material.

Key Accountabilities:

Provide dependable leadership and comprehensive training to the sales communication compliance team, to empower them to deliver professional and efficient subject matter expertise to support the approval of time-sensitive marketing material for Manulife Wealth advisors. Conduct risk-based compliance analysis of the program and offer relevant strategic guidance for marketing needs related to advisor and dealer business initiatives. This can include evaluating and supporting new business channels such as US advisor marketing review regulatory requirements. Enhance and update Manulife Wealth's Sales Communication and Sales Practice Compliance-related policies and procedures, and related training needs. Continuously improve the marketing compliance program to meet regulatory standards while optimizing efficiency and embracing digitalization. Lead the identification and implementation of cutting-edge technology applications to streamline compliance programs, and to ensure they are efficient, effective and exhibit industry best practices. Foster and maintain strong partnerships with advisors, the other Manulife Wealth compliance departments and colleagues, and with other business units within Manulife Investment Management Canada, promoting appropriate collaboration and synergy in compliance efforts. Stay abreast of relevant regulatory trends and assess their impact on advisors and the dealer level and communicate and reflect any changes properly in the marketing compliance program to ensure Manulife Wealth maintains a robust marketing compliance program. Collaborate with team members from the Global Distribution Compliance Center of Expertise, contributing to the development of a global best practice framework. Support harmonization efforts to enhance compliance best practices where applicable. Deliver high-quality compliance training and consultation to advisors and internal stakeholders, ensuring a comprehensive understanding of regulatory requirements, internal policies, procedures, and compliance systems. Ensure timely reporting and escalation of key risks, initiatives, and data to both the direct and matrix manager, facilitating informed decision-making and proactive risk management.

What will be expected from me?

  • Possess a minimum of five years of compliance experience in compliance at a CIRO member firm, three of which should be in a marketing compliance role.
  • Demonstrate an in-depth knowledge of CIRO marketing regulations pertaining to sales communications. This includes a comprehensive understanding of the regulatory framework and requirements governing sales communication practices.
  • Exhibit a strong command of various investment product types, advisor and portfolio management roles, appropriate titles, and related programs.
  • Strong grasp of economic and financial service terminology and activities, as well as various sales practices for equity, fixed income, ETFs and mutual funds. This knowledge should extend beyond a surface-level understanding, allowing for informed conversations with seasoned advisors, and professional marketing compliance decision-making.
  • Completed the Canadian Securities Institute (CSI) Investment Dealer Securities Institute (IDSC) and other required proficiencies to serve as the CIRO Designated Supervisor for Sales Communications.
  • Preferably hold a bachelor's degree or an equivalent combination of education and experience.
  • Display a high level of technological acumen, with a keen understanding of social media compliance requirements.
  • Experience utilizing compliance systems and data analytics tools such as SharePoint, PowerBI, Red Oak, Hootsuite as well as familiarity with other advanced analytics tools.
  • Possess and engender a growth mindset to help lead positive change and accountability within the team to embrace a modern approach to marketing compliance.
  • Exhibit exceptional, practical problem-solving and analytical skills, coupled with a creative mindset necessary to resolve complex compliance issues.
  • Demonstrate the ability to prioritize effectively to meet deadlines and Service Level Agreements in a fast-paced environment. This includes maintaining composure under pressure and consistently delivering high-quality work product.
  • Independently evaluate and assess risk, identify control weaknesses, recommend, and take appropriate actions, and proactively report and follow up on instances of non-compliance.
  • Exercise ethics, diligence, diplomacy, and discretion when handling confidential information, ensuring the utmost confidentiality and professionalism in all compliance-related matters.
  • Bilingual fluency in both spoken and written English and French is desirable.

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.?
  • Values-first culture - We lead with our Values every day and bring them to life together.Boundless opportunity - We create opportunities to learn and grow at every stage of your career.
  • Continuous innovation - We invite you to help redefine the future of financial services.
  • A leadership team dedicated to your growth and success.
  • An exceptional opportunity to leverage the global platform, providing ambitious compliance experts with exposure to the entire spectrum of the investment industry globally. This includes gaining insights outside of Manulife Wealth into institutional asset management, wholesale investment products, high net worth products, insurance programs, and investment dealer businesses in North America, Europe and Asia, allowing for a comprehensive exposure to the industry.

You will be part of the Global Distribution Compliance center of expertise within our Compliance function. Working in a collaborative environment, you will be joining a highly motivated, diverse, international team that delivers compliance solutions for our global business initiatives. We are committed to digital leadership through business partnership and platform modernization to deliver innovative financial solutions and a trusted customer experience for our clients. You will work closely with the Compliance officers in North America, Asia and Europe, and with colleagues in our global wealth business units where we offer proprietary products managed by our internal investment advisory teams.

About Manulife and John Hancock

Manulife Financial Corporation is a leading international financial services group that helps people make their decisions easier and lives better. With our global headquarters in Toronto, Canada, we operate as Manulife across our offices in Asia, Canada, and Europe, and primarily as John Hancock in the United States. We provide financial advice, insurance, and wealth and asset management solutions for individuals, groups and institutions. At the end of 2022, we had more than 40,000 employees, over 116,000 agents, and thousands of distribution partners, serving over 34 million customers. At the end of 2022, we had $1.3 trillion (US$1.0 trillion) in assets under management and administration, including total invested assets of $0.4 trillion (US $0.3 trillion), and segregated funds net assets of $0.3 trillion (US$0.3 trillion). We trade as ?MFC' on the Toronto, New York, and the Philippine stock exchanges, and under ?945' in Hong Kong.

Manulife 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 via Isarta.

Salary & Benefits

The annual base salary for this role is listed below.

Primary Location

Toronto, Ontario

Salary range is expected to be between

$84,375.00 CAD - $151,875.00 CAD

Via Isarta 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 us for more information about U.S.-specific paid time off provisions.


Additional Information

CAN, Ontario, Toronto, 200 Bloor Street East
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