AVP Compliance, E-Communications Monitoring

3 weeks ago


Waterloo, Canada Manulife Full time
p>The opportunity

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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