Manager Trade Desk and Tier 2 Compliance

Manulife is looking for an experienced Manager Trade Desk and Tier 2 Compliance. This role reports to the Head Office Director for Manulife Wealth Inc. (MWI), a CIRO regulated investment dealer focusing on wealth management in Canada.

MWI has over one thousand advisors across Canada, some of whom are portfolio managers, mutual fund advisors or investment dealer advisors.

The candidate should have a strong understanding of the CIRO regulatory requirements, Capital Markets, as well as the dynamics of leading a Tier 2 team to achieve optimal compliance.

Position Responsibilities:

• Ensure that Compliance reviews are conducted in a high quality, risk-based manner and appropriate follow-up actions are completed.

• Build strength of Compliance team and consistency in the application of the compliance program by actively leading team meetings, driving team accomplishments.

• 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.

• Maintains a high level of awareness of compliance related changes and developments in the securities industry through review of publications, participation in industry associations, employee development initiative, etc.

• Previous or current licensing with CIRO as a retail Supervisor of Equities, and Options preferably.

• Experience managing a team and working within the Tier 1 and 2 structure to drive and sustain a positive, effective and efficient compliance regime.

• Familiar with CIRO regulations, and ability to work well with other departments such as AML, Privacy, Marketing, Trading, Capital Markets, Product, Audit, Registrations, Complaints and Investigations.

• Ensure oversight of Best Execution and other Trade Desk review and reporting responsibilities of the Carrying Broker on behalf of MWI.

• Assist with effective responses to regulatory inquiries and audits.

• Identify process-improvement opportunities, establish action plans, and drive solutions to continuously improve the compliance testing program.

• Ensure team responds to and completes diligently to all supervisory inquiries.

• Provides Quarterly statistics and identifies and addresses any trends.

• Leads compliance tasks related to business initiatives with a project management mindset.

• Help create and improve workflow, technology stack and supervisory reports.

• Knowledge of basic Capital Markets, Prospectus and Deal reviews and Syndication practices.

• Ability to perform basic Due Diligence on issuers and related new issues.

• Understand Prospectus and Offering Memorandum issue dynamics.

• Understand and participate in the risk rating of various products within Portfolio Aid.

• Ensure team reviews employee and advisor trading, including outside accounts.

• Electronic Communication review oversight.

• Help oversee Financial Planning compliance requirements.

• Update related policies and procedures and training, as required.

• Support ad hoc strategic compliance projects and initiatives.

Required Qualifications:

• 8+ years of relevant compliance and management experience

• CSC and CPH and Canadian dealer experience.

• Experience with Portfolio Aid, Envestnet, DataPhile, and SharePoint, MS Office tools

• Ability to leverage databases and analytics meaningfully.

• Independent learner, Curiosity, Diligence.

• Focus on detail and accuracy.

• Highly ethical, pragmatic and action-oriented individual.

• Strong critical reading, analysis, verbal and written skills, specifically report writing and delivery.

• Ability to apply regulations to situations with an appreciation for the business and client impact.

• Facility to translate sometimes complex regulations into clear, plain-language action items or policies and procedures for the firm and advisors to follow.

• Collaborator who works well with colleagues and appreciates a risk-focused culture of compliance.

• Experience successfully leveraging technology to design and apply efficient and effective compliance solutions.

• Performance-minded, driven, and accountable.

• Ability to prioritize, organize and complete work to a high standard.

• Ensure critical issues are surfaced and resolved promptly and properly.

Preferred Qualifications:

• IDSC​

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.

#LI-Hybrid

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].

Salary range is expected to be between

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.