Compliance Analyst

**_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

**General Accountability**:
This position is in the Code of Ethics Center of Expertise (“COE”) and is responsible for the Code of Ethics and Information Barrier Programs that support GWAM and General Account Investments globally.

The position supports various Employee Conflict of Interest Programs such as Personal Trading, Gifts and Entertainment, Outside Business Affiliations, Political Contributions and its related systems and platforms. The position is accountable to support all sleeves of the COE’s programming.

The position is directly responsible for providing day-to-day support to the Code of Ethics COE team members, specifically the on-shore team (Director, and Sr. Analyst). The position reports directly to the Sr. Analyst (Toronto), with matrix reporting to the Director (Toronto) and Sr. Director (Boston).

The position also works closely with the off-shore team located in Manila.

**Responsibilities include**:
Covered Employee Support
- Support the Director & Sr. Analyst with day-to-day processes.
- Provide ad hoc analysis and project management support as required

Personal Trading (Support Day-to-Day Functions):

- Support process to designate new employees as Access Persons (“APs”) and provide training.
- Support monitoring of APs trading activity and test trades for compliance with Manulife’s personal trading policies.
- Support review of APs trade confirmations and account statements that are used in the monitoring process.
- Support maintenance on APs brokerage accounts reported in StarCompliance.
- Support review of daily trade exception reports of APs violations of the policies.
- Support preparation of quarterly personal trading reconciliations for selected employees.
- Follow up directly with the APs as well as their managers on violations of the policies.
- Prepare written violation notices to APs as needed.
- Support submission of 407 Letters to the brokerage firms.
- Contribute to the development and implementation of new/updated personal trading policies.
- Create and maintain procedures for Personal Trading Compliance processes.

Gifts and Entertainment (Support Day-to-Day Functions):

- Support the Sr. Analyst with the administration and oversight of the Global Shared Business Entertainment & Gifts Policy and Program.
- Monitor APs shared business entertainment and gifts reporting in StarCompliance and test for compliance with the policy.
- Support the Assessment & Testing Group’s independent testing by remediating their findings with covered employees.

Outside Affiliations (Support Day-to-Day Functions):

- Support the Director with of the administration and oversight of the Outside Affiliation Program and due diligence process.

Political Contributions/Pay-to-Play (Support Day-to-Day Functions):

- Serve as support and back-up (as needed) to the Senior Director with management of the Pay-to-Play Policy administration and oversight.

Other Compliance Responsibilities:

- Assist in the training and development of the position’s direct report (Compliance Analyst).
- Support the Trade Restriction System (“TRS”) processes, controls and restricted lists (black lists, grey lists, watch lists).
- Perform detailed analysis in support of policy violations (as required).
- Assist in the preparation of materials for quarterly compliance committee meetings including standard and ad hoc reports.

**About John Hancock and Manulife**

**Manulife is an Equal Opportunity Employer