Director, Market Conduct Compliance
1 month ago
Working Arrangement
Hybrid
Job Description
About the Role:
Reporting to the Global Head of Market Conduct Compliance, this individual is responsible for supervising aspects of Manulife’s Market Conduct Compliance program in North America.
This role focuses on advancing our Market Conduct Compliance capabilities across both the Canadian Segment and US Segment, with a particular focus on ensuring the effective implementation of Manulife’s Conduct Risk Framework. The Director of Market Conduct Compliance will lead a team of Senior Compliance Officers throughout North America and collaborate closely with the Manager of the Market Conduct Compliance Insurance Examination Team to ensure that appropriate compliance controls and processes are in place with respect to new and existing programs, attendance at industry meetings and ensuring employee cross-training for future growth and retention of employees
An important part of this role is fostering Market Conduct capacity and talent, including ensuring effective structures and operating models and relationships. The Director, Market Conduct Compliance will provide guidance and recommendations as 2nd Line of Defense to assist with strengthening policies and procedures for internal business divisions. They will give guidance, assistance and recommendations to local Segment Distribution Compliance, and ensure close coordination with Sales, Regional and local counterparts in Operational Risk, AML/Fraud Management, Global Investigative Services and elsewhere in the Compliance organization.
Working closely with the Asia AVP Distribution Compliance, the incumbent will also ensure that appropriate compliance controls and processes are in place.
Key Responsibilities and Accountabilities:
This individual will be responsible for ensuring that Manulife’s Market Conduct Risk Framework is effectively communicated and deployed in across North America. Specific responsibilities and accountabilities include, but are not limited to:
- Ensuring that processes are in place to screen and supervise the ongoing suitability of distribution partners, advisors and firms ensuring that controls are in place to implement mitigating processes and controls;
- Working closely with the Global Anti-Fraud Teams and other partners to support investigations and high profile cases as advanced;
- Support, supervise and collaborate with Senior Compliance Officers on sophisticated review, investigations and high profile cases;
- Support monthly, quarterly and annual compliance reporting and risk assessment processes;
- Supporting and implementing the use of Compliance Analytics to proactively detect and address misconduct;
- Attendance on weekly Case calls with partners and team members;
- Lead and supervise monthly Market Conduct Review Committee meetings;
- Building and maintaining external relationships with provincial regulators, and all distribution partner compliance teams;
- Attendance at industry conferences;
- Participation on internal Groups/Forums with all partners;
- Crafting compliance content to present in person or virtually to internal and external partners;
- Working with Technology Heads to implement and maintain robust 2nd line of defense testing programs for Market Conduct Compliance;
- Acting as senior member of the Global Distribution Compliance Management Team.
- Outstanding people leader, with a passion for developing teams, and a track record in hiring, developing and promoting talent
- Lives and models Manulife’s Values, and appropriately reflects Manulife’s Leadership DNA, including with respect to capabilities, skills and mentality
- University or post-secondary education a definite asset
- Deep understanding of insurance distribution compliance and risk controls in Canadian Markets, ideally with an in-depth understanding of Managing General Agencies and National Account Distribution Channels
- 10 years dynamic experience in financial services compliance, audit, risk or other control roles or direct experience in insurance distribution combined with 3-5 years in a leadership role
- Experience supervising compliance programs in a constantly evolving regulatory environment would be an advantage
- Strong communication and people leadership skills to optimally articulate strong recommendations and decisions and credibility to positively influence senior leaders and counterparts throughout Manulife
- Good judgement, balancing pragmatism with high standards for compliance and ethical conduct
- Ability to model appropriate articulation of concerns, raising of issues and management of difficult conversations
- Proficiency in French would be a definite advantage
- Ability to travel throughout North America if/when required
- A competitive salary and benefits packages.
- A growth trajectory that extends upward and outward, encouraging pursuit of passions and learning new skills
- A focus on growing career pathways.
- Flexible work policies and strong work-life balance.
- Professional development and leadership opportunities.
- Values-first culture
We build opportunities to learn and grow at every career stage. * Continuous innovation
We invite you to help redefine the future of financial services. * Delivering the promise of Diversity, Equity and Inclusion
We foster an inclusive work environment where everyone thrives. * Championing Corporate Citizenship
We build a business that benefits all collaborators and has a positive social and environmental impact.
#LI-Hybrid
About Manulife and John Hancock
Manulife Financial Corporation is a leading international financial services group that helps people make their decisions easier and lives better. With our global headquarters in Toronto, Canada, we operate as Manulife across our offices in Asia, Canada, and Europe, and primarily as John Hancock in the United States. We provide financial advice, insurance, and wealth and asset management solutions for individuals, groups and institutions. At the end of 2022, we had more than 40,000 employees, over 116,000 agents, and thousands of distribution partners, serving over 34 million customers. At the end of 2022, we had $1.3 trillion (US$1.0 trillion) in assets under management and administration, including total invested assets of $0.4 trillion (US $0.3 trillion), and segregated funds net assets of $0.3 trillion (US$0.3 trillion). We trade as ‘MFC’ on the Toronto, New York, and the Philippine stock exchanges, and under ‘945’ in Hong Kong.
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 .
Salary & Benefits
The annual base salary for this role is listed below.
Primary Location Waterloo, Ontario
Salary range is expected to be between $98,400.00 CAD - $177,120.00 CAD
If you are applying for this role outside of the primary location, please contact 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 for more information about U.S.-specific paid time off provisions. #J-18808-Ljbffr
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