Compliance Manager

2 months ago

Toronto, Canada Manulife Full time

**_Are you looking for a supportive, collaborative workplace with great teams and inspiring leaders? You’ve come to the right place. We’re looking for ambitious people who share our values and want to make every day better for people around the world. If this sounds like you, and the career below sounds exciting, we’d like to hear from you. _**

**Working Arrangement**

Hybrid

**The opportunity**

The Boston or Toronto based position is primarily accountable for MIM Public/Private Markets and GA Compliance Assessment and Testing Program, conducting ongoing, risk-based compliance assessment reviews and controls testing crafted with an emphasis on key regulatory focus areas and compliance themes, including, but not limited to, portfolio management activities, trading practices, accuracy of disclosures, code of ethics, distribution, governance, privacy, investment guideline monitoring, derivatives usage, surveillance and testing, policies and procedures development; SEC, OSFI, FCA and other regulatory filings, correspondence, electronic communications review, records maintenance, and preparing management reports/metrics. The position will play a key role in the development and refinement of automated trade forensics employing machine learning. Additionally, the position will assist with regulatory and internal audit examinations, investigative reviews and other miscellaneous compliance-related tasks.

**Core Responsibilities**:
**Develop Harmonized Policies, Procedures and Testing Protocols to reinforce Global Standards**:

- Collaborate with MIM Regional Offices to identify and remediate compliance exceptions and guideline breaches
- Review Bloomberg and Portia exception reports and investigate potential issues.
- Prepare and deliver Committee and Board materials and presentations.
- Perform forensic, periodic and transactional testing for investment activity, including derivatives.

**Risk & Testing**:

- Perform compliance assessments and targeted reviews that are designed to identify and assess regulatory, compliance and business risks to which the company is exposed, including those related to portfolio management, trading, personal trading, and supervisory structure and oversight
- Develop forensic test scripts for implementation within the local investment compliance monitoring teams
- Conduct periodic, transactional and forensic testing in support of the Investment Division legal entity adviser compliance programs
- Implement OSFI E-13/E-21 Annual Test Plan
- Assist in the preparation of quarterly compliance and risk trending reports for Senior Management and Oversight Committees
- Participate in and manage cross-functional Risk Management Working Group Meetings
- Draft summaries of findings identified through Assessments, Testing and Incident Management

**Other Compliance Responsibilities**:

- Conduct due diligence for sub-advisers
- Foster and maintain effective working relationships with Business Functional Area and Compliance Leads, Operational Risk, Internal Audit and Global Compliance Office
- Participate in the identification, implementation and oversight of strategic projects and initiatives
- Assist in the preparation of materials for quarterly compliance committee meetings, including standard and ad hoc reports on relevant compliance and other related matters
- Prepare training materials and conduct related presentations

**Proficiencies/Education**:

- Bachelor degree in financial or business-related field, or equivalent
- Advanced degree and/or professional certification such as CIA, CPA, CFA a plus
- A minimum of 5- 7 + years work experience in the financial services industry, compliance, or a related area, including at least 2-3 years’ experience with an investment guideline supervising teamR
- Prior experience with data analytics and programming skills (i.e., Python, R,) a definite plus.
- Strong solid understanding of Order Management Systems, trade flow processing and underlying data requirements supporting an effective pre-/post-trade investment monitoring environment
- Strong interpersonal and organizational skills, an ability to lead assignments with contending priorities, excellent communication skills, and the ability to work both independently and as a member of a team are essential
- Attention to detail and digital literacy (knowledge of MS Word, Excel, PowerPoint, Visio, SharePoint and similar tools) and familiarity with Bloomberg
- Ability to maintain confidentiality
- Proven Understanding of Global Regulatory Environment as it relates to Asset Management
- Familiarity with compliance/trading systems (e.g. Bloomberg CMGR/VMGR, PTCC, Archer, research systems and/or data management systems (e.g. Access, Business Objects) a plus.
- Prior experience in compliance or risk unit working on personal trading, investment guideline compliance monitoring, securities law, global asset management

**What motivates you?**
- You obsess about customers, listen, engage and act for th

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