Director, Market Conduct Compliance

4 months ago

Waterloo, Canada Manulife Full time

locations- Waterloo, Ontario- Toronto, Ontario- Montreal, Quebec- time type- Temps plein- posted on- Publié aujourd'hui- job requisition id- JR24040034- Nous sommes un fournisseur de services financiers qui s’emploie à faciliter les décisions de nos clients et de nos _collègues partout dans le monde et à les aider à vivre mieux. De nos initiatives environnementales à nos investissements dans la collectivité, nous montrons la voie en nous appuyant sur des valeurs, et ce, dans l’ensemble de nos activités. _Pour nous aider à nous démarquer, nous vous aidons à progresser, parce que lorsque nos collègues sont en santé, respectés et vraiment valorisés, nous nous épanouissons tous. Découvrez comment vous pouvez faire progresser votre carrière, avoir une influence et susciter un réel changement avec notre équipe gagnante dès aujourd’hui._
- Semaine de travail comprimée

Hybride
- Description d’emploi
- 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.
- Knowledge, Experience, Skills and Education
- 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 distri

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