Avp and Chief Compliance Officer, Group Benefits

1 week ago

Toronto, Ontario, Canada Manulife Full time

We are a leading financial services provider committed to making decisions easier and lives better for our customers and colleagues around the world.

From our environmental initiatives to our community investments, we lead with values throughout our business.

To help us stand out, we help you step up, because when colleagues are healthy, respected and meaningfully challenged, we all thrive.

Discover how you can grow your career, make impact and drive real change with our Winning Team today.

Working Arrangement
Hybrid

About the Role:


Reporting to the Canada Segment CCO, the Group Benefits Chief Compliance Officer (GB CCO) will partner with the compliance team and business leaders on various compliance initiatives, including, but not limited to, regulatory compliance management, marketing reviews, interacting with regulators, planning and delivery on initiatives in support of compliance and business objectives.


Group Benefits (GB) offers various products, services and support programs to plan sponsors and members such as health and wellness, medical and disability benefits.

The International Group Program (IGP), a global network of major insurance companies established to provide group employee benefits solutions to its multinational clients also falls under the accountability of this business function and within the GB compliance program.

The GB CCO will establish close working relationships with Legal, Risk, Internal Audit and Regulatory Affairs partners.

This incumbent also works closely with Compliance peers and their teams within Canada Compliance and globally, including shared services and centers of excellence teams (for example, privacy, ethics and anti-money laundering).

The GB CCO is a member of the GB management team and partners with business unit and functional group leadership.


Responsibilities:

  • Compliance oversight to ensure regulatory risks are appropriately handled and effective regulatory compliance management processes and controls are in place to align with regulatory requirements, policies and guidelines. This includes ensuring that timely, accurate, relevant and riskbased advice is provided to 1st line control leads.
  • Build and maintain policies and procedures to ensure compliance with regulatory requirements and supervise for Compliance

This includes:

  • Fair Treatment of Customers, Market Conduct and Distribution, Marketing, AML, Privacy, Fraud Prevention, etc.
  • Providing advice and mentorship to GB senior management on compliance, regulatory risk, ethics, conflict of interest and reputational risk.
  • Championing and assisting GB senior leadership in encouraging a culture of compliance and ethical business conduct across the business.
  • Ensuring that quarterly reporting to the Segment CCO, and that significant compliance issues are raised to senior management in a timely manner. Also, ensuring that compliance issues GB face are recorded in Manulife Archer Database for remediation and tracking purposes.
  • Regular reporting to GB leadership on the overall efficiency of our programs.
  • Advising the business on compliance matters affecting daytoday operations.
  • Advising on regulatory compliance risk related to new products, features, distribution or compensation arrangements or other projects as needed.
  • Leading all aspects of the development and execution of 2nd line control testing programs to provide reasonable, riskbased assurance that the 1st line has implemented suitable controls to address critical compliance risks and that those controls are operating optimally.
  • Leading all aspects of review, design and implementation of improvements to the compliance program to address findings arising from regulatory reviews, audits, testing and selfassessments, or to increase the overall effectiveness and efficiency of the function.
  • Handling compliance budgets, as well as ensuring adequate staff levels are maintained and sufficient resources are available.
  • Responsible for talent management, including the development of current staff and ensuring in place strategies will attract and retain appropriate compliance personnel and champion employee engagement.
  • At a segment level in collaboration with peer CCOs and business strategy leads, this role will also lead and coordinate the segmentwide process by which regulatory change that impacts all Canadian businesses are provided (including regulatory requirements) to the business for appropriate delivery by the business in a manner that is consistent across the segment and helps ensure compliance with those requirements in a timely manner (including in the annual budgeting/funding for regulatory change projects within each business).

Proficiencies:

  • 10+ years of proven track record in the financial services industry, with at least 5 years of progressive experience in regulatory compliance, or risk and controls.
  • Niche knowledge in the group insurance business or health insurance industry would be considere

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