AVP Compliance, E-Communications Monitoring & Surveillance

Manulife is seeking a motivated, self-starter, to set up and run a dedicated E-Communications and Surveillance (Market Abuse) Compliance team. Supporting the legal entity and segment CCO’s the individual will be responsible for building a program to build on our existing model and will work closely with Investigative Services, Distribution Compliance, and the Compliance Testing Team. 

Primary Responsibilities:

• Strong desire to work in Communications / Surveillance disciplines with good investigative instincts and background

• Responsible for the Global E-Communications & Surveillance program

• Develop and manage a high performing global team

• Support the design, implementation, and operation of key controls relating to communications and surveillance

• Responsible for the timely analysis of electronic communication-based alerts leading to the detection and prevention of market or firm damaging misconduct

• Documenting reviews, process changes, and outcomes to ensure complete and accurate audit trail

• Detect any violations of policy / regulatory requirements

• Driving the enhancement, expansion, improvement of the E-Communication and Market Abuse Program from both an effectiveness and efficiency standpoint

• Keeping up to date with regulatory changes and internal policy updates, to ensure that the surveillance system(s) incorporates appropriately current search techniques, rules, and criteria

• Provide a comprehensive E-Communications and Market Abuse training program

• Other duties as directed

Required Qualifications:

• Degree in Legal, Finance or a related field

• 5 - 10 years of legal/compliance or similar experience, with a good understanding of financial markets, products, services, and processes

• Confidence, maturity, and credibility to deliver and present to Senior Executive leadership and business unit leadership teams

• Ability to foster and build relationships, engage, and influence others, work with diverse subject matter experts. Flexible and adaptable when dealing with change with a strong awareness and understanding of cultural diversity.  

• Strong relationship-building skills and ability to influence across all lines of business and at all levels of the Company.

• Proven ability to multi-task and manage competing priorities.

• Excellent presentation and facilitation skills. Work well under pressure.

• High level of self-motivation and keen sense of 'owning' and delivering on project deliverables

• Leadership experience and experience working for a global financial institution

Knowledge and Skills:

• Knowledge of the Financial Services Industry, with a specific focus on surveillance / Market Abuse

• Demonstrable understanding of investment instruments and a general knowledge of compliance concepts

• Program management experience in communication and Market Abuse surveillance in the financial services

• Previous experience with e-communications surveillance system implementation or system enhancement

• Knowledge of the Data Protection and Privacy laws is a strong plus (US, Europe and Asia Pacific)

• Accuracy and high attention to detail – clear and precise report writing skills

• Stakeholder Management – communicates complex and ambiguous topics with clarity and ease; able to interface with different stakeholders at all levels; skilled in both oral and written communication.

• Problem solver and decision maker – effectively leverage internal resource and external industry / market insights to assimilate, synthesize, and recommend solutions for complex challenges; takes ownership to make informed and timely decisions and own implementation of solutions.

When you join our team:

• We’ll empower you to learn and grow the career you want. 

• We’ll recognize and support you in a flexible environment where well-being and inclusion are more than just words. 

• As part of our global team, we’ll support you in shaping the future you want to see.

About Manulife and John Hancock

Manulife Financial Corporation is a leading international financial services provider, helping people make their decisions easier and lives better. To learn more about us, visit https://www.manulife.com/en/about/our-story.html.

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 [email protected].

Toronto, Ontario

Hybrid

Salary range is expected to be between

$126,600.00 CAD - $235,300.00 CAD

If you are applying for this role outside of the primary location, please contact [email protected] 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 [email protected] for more information about U.S.-specific paid time off provisions.