Director, Governance, Risk & Compliance – GRC
Numeris
Compliance Officer
Manulife
full-time
Posted on:
Location Type: Hybrid
Location: Toronto • 🇨🇦 Canada
Visit company websiteSalary
💰 CA$71,925 - CA$119,875 per year
Job Level
Mid-LevelSenior
About the role
- directly conduct and provide compliance monitoring, direction, advice and support for Manulife Wealth to provide reasonable assurance
- lead head office Tier 2 compliance activities for assigned regional groups adhering to regulatory requirements
- actively identifies violations of regulatory requirements, internal policies and procedures or other risk situation at an early stage
- inquiries and investigations in relation to such situation are conducted on time as well as applying appropriate corrective actions and/or risk mitigation activities
- compliance review procedures are conducted in a high quality, risk-based manner and appropriate follow-up actions are taken
- conducts head office compliance oversight (Tier II surveillance duties) by reviewing reports in accordance with applicable regulatory requirements and internal policies and procedures to detect violations and potential violations warranting further investigation
- conducts specific purpose compliance reviews, in order to identify potential compliance gaps, either on an active basis or as prompted by events such as client complaints, regulatory investigations, etc.
- participate in special projects requiring specialist compliance input and expertise
- assists in identifying gaps in the existing compliance program and participated in developing, maintaining and implementing changes to the firm’s compliance policies and procedures
Requirements
- College Diploma or University Degree required
- Over 3 years of relevant investment proven experience, preferably with a CIRO and/or MFDA member firm, in a compliance role or other relevant functional area (e.g. trading, operations, sales)
- Knowledge and understanding of the firm’s compliance policies and procedures and the practical application of relevant provincial securities and SRO (CIRO, Exchanges) rules and regulations and other applicable regulatory requirements, such as AML/CTF and Privacy
- Deep understanding of the general characteristics, attribute and risk factors associate with various securities and investment strategies for assessing matter such as suitability and legitimacy of investment activities
- Deep understanding of the firm’s business practices, organizational structure and general policies and procedures
- Proven understanding of laws governing matters such as powers of attorney, trust, estates, unclaimed property and similar as they relate to the operation of brokerage and mutual fund dealer accounts
- Strong written and verbal business communication skills
- Proficient knowledge of Microsoft applications (including Word, Excel and Power Point) and familiarity with the internet and related applications as tools
- Capable of simultaneously prioritizing multiple task and meeting strict deadlines
- Well-developed inter-personal skills to provide a high-level o of service and maintain working relationships with assigned groups and team members
- Able to recognize and handle confidential information
- Self-motivate, confident and capable of working both independently and in a team environment
- Outstanding planning, organizational and time management skills
Benefits
- health
- dental
- mental health
- vision
- short- and long-term disability
- life and AD&D insurance coverage
- adoption/surrogacy and wellness benefits
- employee/family assistance plans
- various retirement savings plans (including pension and a global share ownership plan with employer matching contributions)
- financial education and counseling resources
- generous paid time off including holidays, vacation, personal, and sick days
- full range of statutory leaves of absence
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
compliance monitoringregulatory requirementsrisk mitigationcompliance review proceduresinvestigationsAML/CTFsecurities rulesinvestment strategieslaws governing brokerage accountscompliance policies
Soft skills
written communicationverbal communicationprioritizationinterpersonal skillsconfidentialityself-motivationteamworkplanningorganizational skillstime management
Certifications
College DiplomaUniversity Degree