Investment Management Compliance Officer

Manulife is looking for an experienced Investment Management Compliance Officer (CO) with at least five (5) years of relevant experience.

This role reports to the Chief Compliance Officer (CCO) for Manulife Private Counsel (MPC), an Investment Counsel Portfolio Manager (ICPM) regulated by the Ontario Securities Commission (OSC) in Canada, and also supports the compliance needs of a Registered Investment Advisor (RIA) registered with the Securities Exchange Commission (SEC) in the US. Both entities are affiliates of Manulife Wealth.

The candidate should have a strong understanding of the Portfolio Management (PM) practices, rules and regulations governing the Investment Management business both through the Securities Act, Ontario, and ideally also the SEC U.S. Investment Advisers Act of 1940.

Position Responsibilities

• Review the client Investment Policy Statement (IPS) account opening documents.
• Review regular compliance reports to investigate, document, escalate and resolve issues.
• Provide portfolio management, trading, and client activity oversight to ensure it serves the best interests of the clients.
• Understand components of risk-rating, suitability, concentration, constraints, asset allocation, fair allocation, fee appropriateness, conflicts of interest and other feature of a PM program.
• Interact with PMs professionally to resolve and document any compliance issues.
• Report and escalate compliance and regulatory issues to the CCO.
• Maintain and communicate a strong understanding of applicable regulations.
• Coordinate compliance tasks with colleagues in specialized areas: Anti Money Laundering (AML), Audit, Marketing, Registrations, Privacy, Investigations and Portfolio Management.
• Ensure that the advisors understand and comply with regulatory best practices.
• Ensure that compliance policies and training meet regulatory and business requirements.
• Support ad hoc and strategic compliance projects and initiatives.
• Specific accountabilities and tasks may evolve over time.
  
  

Required Qualifications

• 5+ years of relevant investment management compliance experience
• Certified Investment Management (CIM) designation, or similar education.
• Experience with FMAX, Envestnet, DataPhile, SharePoint, SalesForce.
• Independent learner, Curiosity, Diligence.
• Focus on detail and accuracy.
• Highly ethical and pragmatic action-oriented individual.
• Understands features and impact of different investment product types.
• Ability to apply regulations to situations with an appreciation for the business and client impact.
• Strong critical reading, written and verbal communication skills in person and virtually.
• Ability 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.
  
  

Preferred Qualifications

• CIM
• CFA
  
  

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].

Primary Location

Oakville, Ontario

Working Arrangement

Hybrid

Salary range is expected to be between

$84,375.00 CAD - $151,875.00 CAD

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