Director, Regulatory Compliance Management and Reporting

Manulife - Oakville, ON (30+ days ago)

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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 Chief Compliance Officer of the Manulife Securities IIROC and MFDA dealers, the role is responsible for internal and regulatory reporting, the management of internal and regulatory audits, policy oversight, department IT project development, implementation and oversight, and, department administration. The role requires collaboration with all teams in the dealer compliance group, the dealer business and Manulife Canadian Segment/CWAM. The skills required for the role include extensive securities distribution experience at an IIROC dealer, experience with the implementation and development of IT changes, and, comfort with new technology and new ways of working. The role is essential for the functioning of the dealer compliance department.

In this role you will be required to interact with Senior Compliance Leaders and Senior Executives within both Manulife Securities and Manulife Financial; Advisors; Business Development; Field and Head Office staff, Divisional Compliance; Internal Audit; Internal and External Legal Counsel and Securities Regulators. Critical to success will be this role’s ability to develop positive relationships with each of these meaningful partners, as well as balancing their respective interests, considering regional regulatory and cultural differences.

Key Accountabilities:
Provide leadership to Compliance staff by:
Providing overall management oversight;
Providing effective recruitment, retention and development of staff and the creation of a positive work environment that encourages participation, ownership, responsibility, innovation, initiative, integrity and a sense of pride in the operations and in Manulife in general;
Providing clarification of policy and procedures;
Ensuring all mandatory functions are being completed in an efficient and timely manner;
Acting as an escalation point.
Take a leading role in IT projects that concern the Compliance function.
Responsible for oversight and development of compliance training programs and the annual certification and advisor questionnaire process.
Responsible for internal tracking and reporting in the ARCHER system, as required by Manulife.
Responsible for producing all required internal reporting, including the reporting package for the Manulife Securities Board of Directors.
Act as a key member of the Compliance team senior management by participating in compliance management meetings, providing input and recommendations to strategic plans, policy and procedure development, lead and participate in education and training on conference calls and Advisory Services communications and presentations;
Represent Advisory Services in industry forums and committees;
Represent Advisory Services Compliance in Manulife Financial meetings and projects;
Respond to inquiries from regulators, advisors, assistants, employees and senior management;
Responsible for the Compliance training and communication in support of the Compliance program and in keeping with regulatory requirements and business and Canadian Division policies and programs.
Responsible for ensuring that Compliance policies and procedures optimally support the Compliance program in compliance with regulatory requirements and business and Canadian Division policies and programs and are appropriately coordinated with business and operations policies and procedures;
Responsible for Compliance special projects and initiatives as required;
Administer the Advisory Services Compliance Regulatory Risk Management Program working closely with Canadian Division to ensure the program follows Global and Canadian Division Compliance standards;
Administer the BUCP program for the Compliance Department to ensure the plan is in integrated into the dealer plan and meets IIROC and Canadian Division standards.

What will be expected from Me?

10 years of compliance management experience in an IIROC dealer
University Degree, preferably in law or a business-related area.
Must have completed the Canadian Securities Course, CSI Conducts and Practices Handbook, CSI Partners, Directors and Senior Officers course. CSI Chief Compliance Officer’s Course considered an asset.
Comfortable with modern digital technology and compliance related supervision IT applications.
Able to articulate IT project requirement and manage the implementation of IT applications.
Conceptual understanding of the corporate compliance methodology and program objectives
Detailed knowledge of securities regulations and requirements
Knowledge of securities dealer operations
Experience working with licensed advisors and knowledge in the principal/agent dealer channel
Strong discernment and the ability to make strategic decisions in times of uncertainty
Strong analytical and problem-solving skills, with the ability to accurately interpret complex compliance and legal concept and the ability to simplify the complicated messages
Awareness of project management methodology
Attention to detail
Excellent communication, writing, interpersonal, negotiation and influence skills
Proficiency in developing and writing policies and procedures.
Excellent leadership skills.
Fully conversant with Microsoft business applications.

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. With our global headquarters in Toronto, we operate as Manulife across our offices in Canada, Asia, and Europe, and primarily as John Hancock in the United States. 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 September 30, 2019, we had over $1.2 trillion (US$881 billion) in assets under management and administration, and in the previous 12 months we made $29.8 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. 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. 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 and advancement and we administer all of our practices and programs based on qualification and performance and without discrimination on any protected ground.

It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will consult with applicants contacted to participate at any stage of the recruitment process who request any accommodation. Information received regarding the accommodation needs of applicants will be addressed confidentially.