Manager Trade Desk

2 weeks ago

Oakville, Canada Manulife Full time

We are a leading financial services provider committed to making decisions easier and lives better for our customers and colleagues around the world. From our environmental initiatives to our community investments, we lead with values throughout our business. To help us stand out, we help you step up, because when colleagues are healthy, respected and meaningfully challenged, we all thrive. Discover how you can grow your career, make impact and drive real change with our Winning Team today.

**Working Arrangement**

Hybrid

**The opportunity**

The Compliance Assistant Manager will lead all aspects of the following compliance programs:

- Capital Markets
- Trade Desk
- Product Compliance
- Options Supervision
- Portfolio Aid Management (PA)

The manager supports the overall directive of these programs, such as the Advisor Managed Program (AMP), including the development, updating and implementation of related Policies and Procedures (P&P), related training, collaborating closely with Manulife partners and compliance colleagues, and ensuring full coverage either directly or through the two reports

As one of the firms Registered Option Supervisors, the individual will also manage the opening and approval of new option accounts and the daily supervision of option trading.

**Responsibilities**:
P&Ps:

- Build and maintain effective written P&P designed to facilitate compliance with the relevant CIRO rules, UMIR, provincial securities legislation and regulations and industry standard methodologies.
- Support the business (Advisory Services & Capital Markets Group) in the development and implementation of P&P that enable the business to remain in compliance with all securities regulation and Manulife requirements.

Surveillance:

- Responsible for firms SMARTs surveillance system - reviewing and maintaining MSI SMARTs system which includes:

- Choosing alerts to enable
- Calibrating the alert parameters
- Reviewing parameters to ensure efficiency and reduce false positives.
- Maintain and supervise grey and restricted lists
- Member of SMARTs Expert Forum panel to discuss suggestions for future developments, enhancements and share standard processes with counterparts from other large Canadian and US financial institutions.

Reporting:

- Responsible for daily, monthly, and quarterly reporting of all Fixed Income, Equity & Option trading.
- Identify non-compliant situations and trends and provide recommendations for remediation and solution development.

Training:

- Prepare & provide annual training to Trade Desk on Best Execution and Fixed Income Supervision.

Projects:

- Act as a Compliance Subject Matter Authority on business unit projects.
- Be a positive change agent to implement forward-looking technology and workflows.
- Find opportunities, establish action plans, and drive solutions to continuously improve the compliance testing program, this includes the building and execution of new tests using DataPhile OpenView

Regulatory & Audit:

- Respond to inquiries from regulators, internal compliance staff and advisors on UMIR related issues.
- Assist in the coordination of both internal and external audits for Trade Desk & Capital Markets

Capital Markets:

- Member of New Names Committee
- Own the evaluation, monitoring, and approval of all activities where MSI Capital Markets Group contemplates conducting business with an entity where no prior business relationship exists.
- Member of Liability Committee which supports the evaluation, approval and monitoring of underwriting and financing activities of the Capital Markets Group.

Product Review Committee:

- Compliance representative on Product Review Working Group, which performs all initial product reviews for MSI and MSISI to ensure that investment products and investment product referral arrangements offered are reviewed to be aligned with IIROC & MFDA regulations and guidelines.

Options:

- Licensed with IIROC as Options Supervisor responsible for opening and approving new option accounts, supervision of account option activity and the implementation of P&P for the options program at Manulife Securities Incorporated.

Portfolio Aid:

- Management of Portfolio Aid team and vendor ownership
- Member of the Portfolio Aid Risk Committee which reviews firm level risk ratings for current products on the dealer’s shelf

Personal Account Trading Review:

- Authorize and review all PRO/employee accounts held at other dealer members.
- Review and process compliance authorization letters from other dealers for our clients.

**Proficiencies Needed**:

- Canadian Securities Course (CSC)
- Conduct Practices Handbook (CPH)
- Derivatives Fundamental and Options Licensing (DFOL)
- Options Supervisor Course (OSC)
- Investment Dealer Supervisor Course (IDSC) (formerly Branch Manager Course)
- Bachelor’s degree or equivalent
- IIROC proficiencies and registration as an Option Supervisor
- A comprehensive understanding of the
- Canadian Investment Regulatory Organiz

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