Compliance Specialist

Manulife Financial; Toronto; Hybrid; CAD 61,000 - 103,000; Full time

Job summary

A leading company in financial services is looking for a Compliance Specialist to oversee compliance in marketing and sales materials. This role involves working closely with various teams to ensure adherence to regulatory standards and internal policies. Candidates must have a solid foundation in compliance laws and exceptional communication abilities.

Benefits

Flexible work environment

Health and dental benefits

Retirement savings plans

Paid time off

Employee assistance programs

Qualifications

• 3-5 years of related financial services or compliance experience required.
• Familiarity with NI 81-102 and Canadian Securities Law necessary.
• Ability to handle a high volume of requests and tight timelines.

Responsibilities

• Review marketing materials to ensure compliance with relevant regulations.
• Support development and maintenance of compliance policies.
• Provide advice on distribution compliance matters.

Skills

Organizational skills

Problem-solving abilities

Communication skills

Technology skills

Education

College/University Degree

Job description

Manulife Investment Management is the global brand for the global wealth and asset management segment of Manulife Financial Corporation. We draw on more than a century of financial stewardship and the full resources of our parent company to serve individuals, institutions, and retirement plan members worldwide. Headquartered in Toronto, our extensive capabilities in public and private markets are strengthened by an investment footprint that spans 19 geographies. We complement these capabilities by providing access to a network of unaffiliated asset managers from around the world. We’re committed to investing responsibly across our businesses. We develop innovative global frameworks for balanced investing, collaboratively engage with companies in our securities portfolios, and maintain a high standard of stewardship where we own and operate assets, and we believe in supporting financial well-being through our workplace retirement plans. Today, plan sponsors around the world rely on our retirement plan administration and investment expertise to help their employees plan for, save for, and live a better retirement. Not all offerings are available in all jurisdictions. For additional information, please visit manulifeim.com.

The Compliance Specialist will be responsible for the review of sales, marketing materials, and other communications. This role will support Manulife Investment Management institutional, public and private markets and retail business lines pursuant to Manulife IM Global Communications Policy and Guidelines; as well as applicable Canadian regulatory requirements and advise business partners to ensure material is compliant.The Compliance Specialist will provide independent reviews of marketing materials and act a key advisor to the business as it pertains to NI 81-102 and internal Manulife policies and standards. The Compliance Specialist will also participate in project working groups pertaining to product launches and product changes.

In addition, the Compliance Specialist provides advice to the business on their marketing and distribution activities in the context of the Canadian regulatory environment as well as any potential cross-border implications in the context of the global organization. Reviews will include but are not limited to; investment strategy presentations, private fund presentations, fund pitch books and other materials; fact sheets, RFP’s/RFI’s, social media, web content and other such materials which may include both print and digital formats. In addition, the Compliance Specialist will be responsible for tracking global industry best practices with a focus on continuous improvement.

Position Responsibilities:

• Support the development, implementation, and maintenance of CWAM Distribution Compliance-related policies and procedures that enable the firm to remain in compliance with regulatory requirements

• Review of marketing materials (including advertisements, presentations, website pages, brochures, articles, social media) to confirm the compliance with National Instrument 81-102 and internal Manulife Investment Management guidelines and policies

• Work with the PMs, product, marketing teams on new strategies/ products/ distribution method and value-added service to provide risk-based compliance analysis and guidance to facilitate business initiatives

• Monitor and stay abreast of distribution-related regulations and assess the impact to sales, marketing, and other communications materials

• Create and conduct compliance training and consultation regarding the regulatory requirements and internal policies to related stakeholders as needed

• Support the institutional side of the distribution compliance team projects, such as ESG/sustainability, GIPS, automotive review initiatives and participate in other projects to support the compliance team and business partners as necessary

• Provide advice to firm personnel regarding distribution compliance related matters

• Act as an individual contributor, set direction, establish goals and manage the tasks assigned

• Be capable of handling advanced compliance work

• Share best practices with other team members, thus ensuring consistency in the way business/process/products are developed and maintained to in compliance with regulatory and company requirements

• Collaborate with all areas of the organization to ensure compliance needs and business goals are met

• Assist team members with tasks and assignments as needed

• Establish and maintain strong working relationships with the business units

• Participate in industry forums/working group to stay current on regulatory trends and up to date with industry peer standards

Required Qualifications:

• College/University Degree

• 3-5 years of related financial services, compliance, or management experience. Relevant work experience in Canada Mutual Fund industry

• Familiarity with NI 81-102 and Canada Securities Law, and a working knowledge of NI 31—103, NI 81-105, NI 81-106 and NI 81-107 requirements related to investment funds and applicable securities regulations

• Be well organized and able to handle a high volume of requests and inquiries from various business departments and deliver within tight timelines

• This position requires an in-depth understanding of the mutual fund industry and its operational supporting functions, and a strong knowledge of compliance and applicable regulatory requirements for Investment Fund Manager, Portfolio Manager and Commodity Trading Manager categories of registration.

• Proactive and self-motivated with strong problem-solving abilities and the ability to effectively prioritize in a diverse and fast paced environment

• Strong written and verbal communication skills and organizational skills, with a positive attitude and proven ability to negotiate and influence others to obtain desired results.

• Strong technology skills including knowledge of applicable compliance or business systems

• Strong ethical compass

• Comprehensive knowledge of the financial services industry

• Advanced understanding of the regulatory environment in which the Company operates and a strong understanding of key compliance requirements applicable to the business

• Ability to work independently

• Ability to facilitate decision making across groups in the company

• Ability to embrace change, strong change management skills.

• Ability to analyze technical information, make appropriate recommendations to decision makers and ability to make decisions

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.

關於宏利和恒康

宏利金融公司是一家業界領先的國際金融服務商，致力於幫助人們實現「輕鬆投資理財，樂享豐盛人生」。若要進一步了解我們，請瀏覽https://www.manulifeim.com/institutional/tw/en.

宏利是平等機會僱主

在宏利／恒康，我們擁抱多元。我們致力於吸引、培養及挽留和所服務客戶同樣多元的員工，並從而營造包容的工作環境，接納文化和個體差異。我們矢志維持公平的招聘、挽留、晉升及薪酬制度，我們管理的所有實踐及項目不會因種族、血統、原籍地、膚色、族裔、國籍、宗教或宗教信仰、信仰、性別（包括懷孕及其相關情況）、性取向、遺傳特徵、退伍軍人身份、性別認同、性別表達、年齡、婚姻狀況、家庭狀況、殘疾或受適用法律保護的任何其他因素而區別對待。

我們的首要任務是消除障礙，為員工提供平等就業機會。人力資源部代表將盡力為應徵過程中提出要求的申請人提供合理協助。申請人要求提供協助所分享的信息將會按照適用法律及宏利／恒康政策儲存及使用。應徵過程中如需協助，請聯絡 [e-mail]。

Referenced Salary Location

Toronto, Ontario

Working Arrangement

混合式

Salary range is expected to be between

$61,350.00 CAD - $102,250.00 CAD

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