Investment Compliance Specialist

3 weeks ago

Oakville, Ontario, Canada Manulife Full time
Investment Compliance Officer Job Description

Manulife is seeking an experienced Investment Compliance Officer to join our team. This role reports to the Chief Compliance Officer and is responsible for ensuring compliance with regulatory requirements and industry standards.

Key Responsibilities:
  • Review client investment policy statements and account opening documents.
  • Investigate, document, escalate, and resolve compliance issues.
  • Provide oversight of portfolio management, trading, and client activity to ensure compliance with regulatory requirements.
  • Understand and apply regulatory requirements related to risk-rating, suitability, concentration, constraints, asset allocation, fair allocation, fee appropriateness, conflicts of interest, and other features of a portfolio management program.
  • Interact with portfolio managers to resolve and document compliance issues.
  • Report and escalate compliance and regulatory issues to the Chief Compliance Officer.
  • Coordinate compliance tasks with colleagues in specialized areas, including anti-money laundering, audit, marketing, registrations, privacy, investigations, and portfolio management.
  • Ensure that advisors understand and comply with regulatory best practices.
  • Ensure that compliance policies and training meet regulatory and business requirements.
  • Support ad hoc and strategic compliance projects and initiatives.
Requirements:
  • 5+ years of relevant investment management compliance experience.
  • Certified Investment Management (CIM) designation or similar education.
  • Experience with FMAX, Envestnet, DataPhile, SharePoint, and SalesForce.
  • Understanding of features and impact of different investment product types.
  • Ability to apply regulations to situations with an appreciation for the business and client impact.
  • Ability to translate complex regulations into clear, plain-language action items or policies and procedures.
  • Collaborative mindset and ability to work well with colleagues.
  • Experience leveraging technology to design and apply efficient and effective compliance solutions.
  • Performance-minded, driven, and accountable.

Manulife is an equal opportunity employer and welcomes diversity in the workplace. 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, color, 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.

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