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Sales Communications Compliance Officer
4 months ago
Description
The Sales Communications Compliance Officer will report directly to the Senior Compliance Officer and will be responsible for the supervision and approval of all Advisor and Head Office advertising, sales communications, and co-op marketing ventures.
The Sales Communications Compliance Officer must perform vital compliance duties to ensure the aforementioned are reviewed, assessed, and are compliant policies, procedures, regulations and laws set out by the Provincial and Territorial Securities Commissions, and the MFDA and IIROC. The Sales Communications Compliance Officer’s role is an integral part of a versatile team that specializes in the supervision of Advisor advertising and sales communication related subject matter.
Key Accountabilities:
Responsible for completing the review, supervision, and final approval on behalf of the MFDA and IIROC Dealers for all advertising, sales communications (including content distributed through electronic means), and co-op marketing requests for Advisors and Head Office. Ensure all requests meet compliance for regulatory requirements and company policy. Produce a well-documented audit trail of the supervision process to evidence that reviews and approvals completed by the Sales Communications department were conducted in accordance with regulatory requirements. Detect and report any concerns relating to Advisors’ marketing and advertising activities that may pose a risk for the Advisor, the Dealer, and the integrity of the Manulife brand and be able to identify those concerns that require advancement. Administer the social media compliance supervising tool. Complete initial reviews and approvals of all Advisors’ Social Media profiles and posted content through the compliance tool for IIROC and MFDA Advisors for both static and active social media sites (LinkedIn, Twitter, Facebook). Conduct ongoing social media supervision, for alerts received under the configured compliance policies for changes to profiles or content that have been flagged and maintain compliance workflow and incident logging. Review and approve all Advisors’ website material for content run through the Dealer’s approved website vendor(s) and custom websites. Have oversight of changes made to website content using the approved vendor(s) compliance tools. Maintain accurate digital records of the regulatory supervision audit trail and archived data. Provide the Dealer’s Advisors with high quality, accurate and timely compliance direction, advice, and support and keep advisors informed of their ongoing compliance responsibilities and requirements. Assist the Manager to develop and improve corporate guidelines with respect to sales communications and co-op marketing supervision processes and remain well informed of industry rule changes. Maintain the strength of the Compliance team and consistency in the application of the supervision process by actively participating in team meetings, collaborating toward team goals, and participating on team projects. Assist in responding to investigations, audits, and regulatory reviews Other duties may be assigned by the reporting ManagerProficiencies:
Bachelor's Degree/College Diploma Preferred proficiency courses: Canadian Securities Course, CSI Conduct and Practices Handbook Course Investment Dealer Supervisors Course (IDSC) designation in preferred or must be willing to get within 6 months of starting the position. Minimum two years of experience in a mutual fund dealer, a securities dealer, or a financial industry related firm preferred Detailed knowledge of the rules and regulations governing the financial services industry with respect to sales communication and co-op marketing material Knowledge of the products offered by the mutual fund and securities dealers Strong technology knowledge and skills Strong social skills and ability to prioritize tasks Must possess outstanding communications skills, verbal and written Possess strong time-management skills and highly detail oriented Must be adaptable and able to react to changing needs Ability to utilize PC applications and systems including Word, Excel, Outlook, Adobe Acrobat Ability to multitask and perform in a multidimensional work environment Bilingualism (English & French) an assetWhat can we offer:
A competitive salary and benefits packages. A growth trajectory that extends upward and outward, encouraging pursuit of passions and learning new skills. A focus on growing your career pathways Flexible work policies and strong work-life balance. Professional development and leadership opportunities.
Our commitment:
We lead with our Values every day and bring them to life together. Boundless opportunity
We build opportunities to learn and grow at every career stage. Continuous innovation
We invite you to help redefine the future of financial services. Delivering the promise of Diversity, Equity and Inclusion
We foster an inclusive environment where everyone thrives. Championing Corporate Citizenship
We build a business that benefits all partners and has a positive social and environmental impact.
#LI-Hybrid
About Manulife and John Hancock
Manulife Financial Corporation is a leading international financial services group that helps people make their decisions easier and lives better. With our global headquarters in Toronto, Canada, we operate as Manulife across our offices in Asia, Canada, and Europe, and primarily as John Hancock in the United States. We provide financial advice, insurance, and wealth and asset management solutions for individuals, groups and institutions. At the end of 2022, we had more than 40,000 employees, over 116,000 agents, and thousands of distribution partners, serving over 34 million customers. At the end of 2022, we had $1.3 trillion (US$1.0 trillion) in assets under management and administration, including total invested assets of $0.4 trillion (US $0.3 trillion), and segregated funds net assets of $0.3 trillion (US$0.3 trillion). We trade as ‘MFC’ on the Toronto, New York, and the Philippine stock exchanges, and under ‘945’ in Hong Kong.
Manulife is an Equal Opportunity Employer
Salary & Benefits
The annual base salary for this role is listed below.
Primary Location
Toronto, OntarioSalary range is expected to be between
$60,000.00 CAD - $100,000.00 CADIf you are applying for this role outside of the primary location, please contact for the salary range for your location. The actual salary will vary depending on local market conditions, geography and relevant job-related factors such as knowledge, skills, qualifications, experience, and education/training. Employees also have the opportunity to participate in incentive programs and earn incentive compensation tied to business and individual performance.
Manulife offers eligible employees a wide array of customizable benefits, including health, dental, mental health, vision, short- and long-term disability, life and AD&D insurance coverage, adoption/surrogacy and wellness benefits, and employee/family assistance plans. We also offer eligible employees various retirement savings plans (including pension and a global share ownership plan with employer matching contributions) and financial education and counseling resources. Our generous paid time off program in Canada includes holidays, vacation, personal, and sick days, and we offer the full range of statutory leaves of absence. If you are applying for this role in the U.S., please contact for more information about U.S.-specific paid time off provisions.
