Manager of the compliance investigation team ensuring policies and procedures are being followed for assigned tasks and share best practices within the team. Strong analytical skills and attention to details are essential qualities for this role. With minimal oversight, the incumbent exercises sound independent judgement by making decisions related to risk assessment, quality control, operational procedures and other delegated responsibilities associated with the business.

Position Responsibilities:

·        Conducting investigations in relation to market misconduct that are referred to Manulife directly or referred from external sources (e.g. MAS and FIDReC).

·        Prepare for monthly Disciplinary Committee meetings on investigation findings for Panel review.

·        Support to convene deviation hearings against sanctions and communicate to relevant parties.

·        Handles more complex matters and issues, and ensure clear communication to stakeholders.

·        Capable of handling more advanced compliance investigation work.

·        Provides direction and guidance to more junior members and review investigation reports as necessary.

·        Works independently with minimal day-to-day guidance.

·        Functions as a subject matter expert.

·        Shares best practices with other team members, thus ensuring consistency in the investigation process.  

·        Shares responsibility for ensuring the business/division understands what it takes to comply.

·        Conduct trainings on Market Conduct standards to Manulife tied-agency force and representatives.

·        When applicable, report irregularities to Management which may include Senior Management of the various business units we support.

·        Involved in company or department initiatives, including policy and procedure improvements.

Required Qualifications:

·        Diploma or Degree in finance, business, or related fields

·        Minimum 5 years of related financial services or investment advisory industry experience

·        Compliance market conduct investigation background is required

·        Possess professional qualifications such as FLMI, Diploma in Life Insurance, CMFAS Exams (M5, M9, M9A, CHI, M8, M8A), Diploma in Financial Planning

·        Proficient in Microsoft suite of applications; generally tech savv

·        Knowledge of key rules and regulations governing insurers and financial advisers 

·        Possess an ethical and tenacious mindset

·        Ability to problem solve 

·        Collaborative attitude and team player

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.

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].

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