Compliance

• 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

Compliance Officer

Assistant Branch Manager, Compliance

Compliance & Risk Intern, Winter 2026

Senior Sales Compliance Analyst

Associate Director, Compliance

Compliance Manager