Distribution Compliance Analyst

4 months ago

Toronto, 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

Are you looking for unlimited opportunities to develop and succeed? With work that challenges and makes a difference and a flexible and supportive environment, we can help our customers achieve their dreams and aspirations.

**About Manulife Investment Management**

**Job Summary**:
The Distribution Compliance Analyst reviews sales, marketing materials and sales practices under NI 81-105 for Manulife Investment Management institutional and high net worth and retail business pursuant to Manulife IM Global Communication Policy and Guidelines and applicable Canadian regulations.

**Responsibilities**:

- Review sales, marketing and other communications materials for Manulife Investment Management retail, institutional and high net worth business lines pursuant to MIM Global Communications Policy and Guidelines as well as applicable Canadian regulatory requirements
- Review and approve sales practice activities pursuant to Canadian regulatory requirements (NI 81-105) and related internal policies and procedures
- Reviewing and conducting investigations with sales teams for potential Sales Practice Violations
- Participate in the review and update of Distribution Compliance-related policies and procedures
- Provide assistance to the Distribution Compliance Manager to monitor for compliance and stay abreast of distribution-related regulations and assess the impact to sales practice and sales communication.
- Collaborate on compliance team projects, such as social media, data analysis, and using AI to facilitate review etc.
- Provide advice to firm personnel regarding distribution compliance-related matters.
- Act as an individual contributor, set direction, establish goals and handle the tasks assigned
- Share standard processes with other team members, thus ensuring consistency in the way business/process/products are developed and maintained to be in compliance with regulatory and company requirements
- Collaborate with all areas of the organization to ensure compliance needs and business goals are met
- Assist team members with tasks and assignments as needed
- Build and maintain strong working relationships with the business units
- Participate in industry forums/working group to stay current on regulatory trends and up to date with industry peer standards

**Desired Qualifications**:

- Bachelor’s degree or the equivalent combination of education and experience is required.
- 1-3 years of experience in the financial services industry and experience with the investment advisory industry experience.
- Prior completion of the Canadian Securities Course (CSC) is required, CFA level 1 completion is helpful.
- Solid understanding of the investment, asset management, and mutual fund business and corresponding matters related to the distribution of retail, high net worth and institutional products.
- Excellent oral and written communications skills, ability to collaborate, negotiate with and influence business associates in marketing, sales administration and product groups at various levels of the organization.
- Self-starter with the ability to handle sophisticated workflow in fast-paced, dynamic organization; ability to prioritize and perform multiple tasks and deal with interruptions while working within deadlines.
- Demonstrated proficiency with Microsoft Word, Excel, PPT and PDF, Power BI.
- Able to work in French is helpful.
- Knowledge and experience with various types of investment products and investment platforms. Possess a basic understanding of equity, fixed income, ESG, LDI and various private assets classes.
- Knowledge of US financial regulations such as the New SEC marketing rules would be helpful.
- Solid understanding of Environmental, Social, and Governance (ESG) would be helpful

**What can we offer you?**
- A competitive salary and benefits packages.
- A growth trajectory that extends upward and outward, encouraging you to follow your passions and learn new skills.
- A focus on growing your career path with us.
- Flexible work policies and strong work-life balance.
- Professional development and leadership opportunities.

**Our commitment to you**
- Values-first culture
We lead with our Values every day and bring them to life together.
- Boundless opportunity
We build opportunities to learn and grow at every stage of your career.
- Continuous innovation
We invite you to help redefine the future of financial services.
- Delivering the promise of Diversity

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