AVP Compliance, E-Communications Monitoring
3 weeks ago
Manulife is seeking a motivated, self-starter, to set up and run a dedicated E-Communications and Surveillance (Market Abuse) Compliance team. Supporting the legal entity and segment CCO’s, the individual will be responsible for building a program to build on our existing model and will work closely with Investigative Services, Distribution Compliance, and the Compliance Testing Team.
- Strong desire to work in Communications / Surveillance disciplines with good investigative instincts and background.
- Responsible for the Global E-Communications & Surveillance program.
- Support the design, implementation, and operation of key controls relating to communications and surveillance.
- Responsible for the timely analysis of electronic communication-based alerts leading to the detection and prevention of market or firm damaging misconduct.
- Documenting reviews, process changes, and outcomes to ensure complete and accurate audit trail.
- Detect any violations of policy / regulatory requirements.
- Driving the enhancement, expansion, improvement of the E-Communication and Market Abuse Program from both an effectiveness and efficiency standpoint.
- Keeping up to date with regulatory changes and internal policy updates, to ensure that the surveillance system(s) incorporates appropriately current search techniques, rules, and criteria.
- Provide a comprehensive E-Communications and Market Abuse training program.
Recommended Experience:
- Degree in Legal, Finance or a related field.
- 5 - 10 years of legal/compliance or similar experience, with a good understanding of financial markets, products, services, and processes.
- Confidence, maturity, and credibility to deliver and present to Senior Executive leadership and business unit leadership teams.
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