Investment Management Compliance Officer
1 week ago
Manulife is looking for an experienced **Investment Management Compliance Officer **( **CO **) with at least five (5) years of relevant experience.
This role reports to the Chief Compliance Officer ( **CCO **) for **Manulife Private Counsel (MPC), **an Investment Counsel Portfolio Manager ( **ICPM **) regulated by the Ontario Securities Commission ( **OSC) **in Canada, and also supports the compliance needs of a Registered Investment Advisor ( **RIA **) registered with the Securities Exchange Commission ( **SEC **) in the US. Both entities are affiliates of **Manulife Wealth.**
**Position Responsibilities**:
- Review the client Investment Policy Statement ( **IPS **) account opening documents.
- Review regular compliance reports to investigate, document, escalate and resolve issues.
- Provide portfolio management, trading, and client activity oversight to ensure it serves the best interests of the clients.
- Understand components of risk-rating, suitability, concentration, constraints, asset allocation, fair allocation, fee appropriateness, conflicts of interest and other feature of a PM program.
- Interact with PMs professionally to resolve and document any compliance issues.
- Report and escalate compliance and regulatory issues to the CCO.
- Maintain and communicate a strong understanding of applicable regulations.
- Coordinate compliance tasks with colleagues in specialized areas: Anti Money Laundering ( **AML **), Audit, Marketing, Registrations, Privacy, Investigations and Portfolio Management.
- Ensure that the 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.
- Specific accountabilities and tasks may evolve over time.
**Required Qualifications**:
- 5+ years of relevant investment management compliance experience
- Certified Investment Management (CIM) designation, or similar education.
- Experience with FMAX, Envestnet, DataPhile, SharePoint, SalesForce.
- Independent learner, Curiosity, Diligence.
- Focus on detail and accuracy.
- Highly ethical and pragmatic action-oriented individual.
- Understands features and impact of different investment product types.
- Strong critical reading, written and verbal communication skills in person and virtually.
- Ability to translate sometimes complex regulations into clear, plain-language action items or policies and procedures for the firm and advisors to follow.
- Collaborator who works well with colleagues and appreciates a risk-focused culture of compliance.
- Performance-minded, driven, and accountable.
- Ability to prioritize, organize and complete work to a high standard.
**Preferred Qualifications**:
- CIM
- CFA
**_When you join our team: _**
- We’ll empower you to learn and grow the career you want.
- We’ll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
- As part of our global team, we’ll support you in shaping the future you want to see.
LI-Hybrid
**About Manulife and John Hancock**
**Manulife is an Equal Opportunity Employer**
**Primary Location**
Oakville, Ontario
**Working Arrangement**
Hybrid
**Salary range is expected to be between**
$84,375.00 CAD - $151,875.00 CAD
Manulife offers eligible employees a wide array of customizable benefits, including health, dental, mental health, vision, short
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