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Manager trade desk and tier 2 compliance

Société Financière Manuvie

Toronto

Hybrid

CAD 86,000 - 156,000

Full time

11 days ago

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Job summary

An established industry player is seeking a seasoned Manager for Trade Desk and Tier 2 Compliance. This role is pivotal in ensuring that compliance reviews are executed with precision and that the compliance team thrives in a dynamic environment. As part of a forward-thinking organization, you will lead a dedicated team, drive compliance initiatives, and foster a culture of integrity and accountability. This position offers the opportunity to shape compliance strategies while collaborating with various departments to enhance operational efficiency. If you are passionate about compliance and ready to make a significant impact, this role is for you.

Benefits

Medical Insurance
Dental Insurance
Mental Health Support
Vision Care
Short and Long-term Disability
Life Insurance
Employee Assistance Programs
Retirement Savings Plans
Paid Time Off
Flexible Work Environment

Qualifications

  • Strong understanding of CIRO regulatory requirements and Capital Markets.
  • Experience managing a Tier 2 compliance team effectively.

Responsibilities

  • Ensure high-quality, risk-based compliance reviews and follow-up actions.
  • Lead and develop the compliance team to achieve operational excellence.

Skills

Compliance Management
Regulatory Knowledge
Team Leadership
Critical Analysis
Communication Skills
Project Management

Education

CSC and CPH Certification
8+ years of compliance experience

Tools

Portfolio Aid
Envestnet
DataPhile
SharePoint
MS Office

Job description

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.

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À propos de Manuvie et de John Hancock

La Société Financière Manuvie est un chef de file mondial des services financiers qui aide les gens à prendre leurs décisions plus facilement et à vivre mieux. Pour en apprendre plus à notre sujet, rendez vous à l’adresse www.manuvie.com.

Manuvie est un employeur qui souscrit au principe de l’égalité d’accès à l’emploi

Chez Manulife/John Hancock nous valorisons notre diversité. Nous nous efforçons d’attirer, de perfectionner et de maintenir une main d'oeuvre qui est aussi diversifiée que nos clients, et de favoriser la création d’un milieu de travail inclusif qui met à profit la diversité de nos employés et les compétences de chacun. Nous nous engageons à assurer un recrutement, une fidélisation, une promotion et une rémunération équitables, et nous administrons toutes nos pratiques et tous nos programmes sans discrimination en raison de la race, de l’ascendance, du lieu d’origine, de la couleur, de l’origine ethnique, de la citoyenneté, de la religion ou des croyances ou des convictions religieuses, du genre (y compris grossesse et affection liée à une grossesse), de l’orientation sexuelle, des caractéristiques génétiques, du statut d’ancien combattant, de l’identité de genre, de l’expression de genre, de l’âge, de l’état matrimonial, de la situation de famille, d’une invalidité ou de tout autre motif protégé par la loi applicable.

Nous nous sommes donné comme priorité d’éliminer les obstacles à l’accès égalitaire à l’emploi. C’est pourquoi un représentant des Ressources humaines collaborera avec les candidats qui demandent accommodement raisonnable pendant le recrutement. Tous les renseignements communiqués pendant le processus de demande d'accommodement seront stockés et utilisés conformément aux lois et aux politiques applicables de Manuvie. Pour demander une mesure d’accommodement raisonnable dans le cadre du recrutement, écrivez à recruitment@manulife.com.

Région de référence du salaire

Toronto, Ontario

Modalités de travail

Hybride

L’échelle salariale devrait se situer entre

$86,250.00 CAD - $155,250.00 CAD

Si vous posez votre candidature à ce poste en dehors de la région principale, veuillez écrire à recruitment@manulife.com pour obtenir l’échelle salariale correspondant à votre région. Le salaire varie en fonction des conditions du marché local, de la géographie et de facteurs pertinents liés au poste telles les connaissances, les compétences, les qualifications, l’expérience et l’éducation ou la formation. Les employés ont également la possibilité de participer à des programmes de motivation et de toucher une rémunération incitative liée au rendement de l’entreprise et au rendement individuel.

Manuvie offre aux employés admissibles une vaste gamme d’avantages sociaux personnalisables, notamment une assurance soins médicaux, soins dentaires, santé mentale, soins de la vue, invalidité de courte et de longue durée, assurance vie et assurance DMA, assurance adoption, de maternité de substitution et de soins médicaux non urgents ainsi que des programmes d’aide aux employés et leur famille. Nous proposons également aux employés admissibles différents régimes d’épargne-retraite (y compris des régimes de rente et un programme international d’actionnariat assortie de cotisations patronales de contrepartie) ainsi que des ressources en matière d’éducation et de conseils financiers. Notre généreux programme de congés rémunérés au Canada comprend les jours fériés, les congés annuels, les congés personnels et les congés de maladie, et nous offrons toute la gamme des congés autorisés prévus par la loi. Si vous posez votre candidature à ce poste aux États-Unis, veuillez écrire à recruitment@manulife.com pour obtenir de plus amples renseignements sur les dispositions relatives aux congés rémunérés spécifiques aux États-Unis.

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