Job Information
Manulife AVP Compliance, E-Communications Monitoring & Surveillance in Waterloo, Ontario
The opportunity
Manulife is seeking a motivated, self-starter, to set up and run a dedicated E-Communications and Surveillance (Market Abuse) Compliance team. Supporting the legal entity and segment CCO’s the individual will be responsible for building a program to build on our existing model and will work closely with Investigative Services, Distribution Compliance, and the Compliance Testing Team.
Responsibilities:
Strong desire to work in Communications / Surveillance disciplines with good investigative instincts and background
Responsible for the Global E-Communications & Surveillance program
Develop and manage a high performing global team
Support the design, implementation, and operation of key controls relating to communications and surveillance
Responsible for the timely analysis of electronic communication-based alerts leading to the detection and prevention of market or firm damaging misconduct
Documenting reviews, process changes, and outcomes to ensure complete and accurate audit trail
Detect any violations of policy / regulatory requirements
Driving the enhancement, expansion, improvement of the E-Communication and Market Abuse Program from both an effectiveness and efficiency standpoint
Keeping up to date with regulatory changes and internal policy updates, to ensure that the surveillance system(s) incorporates appropriately current search techniques, rules, and criteria
Provide a comprehensive E-Communications and Market Abuse training program
Other duties as directed
What motivates you?
You obsess about customers, listen, engage and act for their benefit.
You think big, with curiosity to discover ways to use your agile approach and enable business outcomes.
You thrive in teams and enjoy getting things done together.
You take ownership and build solutions, focusing on what matters.
You do what is right, work with integrity and speak up.
You share your humanity, helping us build a diverse and inclusive work environment for everyone.
Recommended Experience:
Degree in Legal, Finance or a related field
5 - 10 years of legal/compliance or similar experience, with a good understanding of financial markets, products, services, and processes
Confidence, maturity, and credibility to deliver and present to Senior Executive leadership and business unit leadership teams
Ability to foster and build relationships, engage, and influence others, work with diverse subject matter experts. Flexible and adaptable when dealing with change with a strong awareness and understanding of cultural diversity.
Strong relationship-building skills and ability to influence across all lines of business and at all levels of the Company.
Proven ability to multi-task and manage competing priorities.
Excellent presentation and facilitation skills. Work well under pressure.
High level of self-motivation and keen sense of 'owning' and delivering on project deliverables
Leadership experience and experience working for a global financial institution
Knowledge and Skills:
Knowledge of the Financial Services Industry, with a specific focus on surveillance / Market Abuse
Demonstrable understanding of investment instruments and a general knowledge of compliance concepts
Program management experience in communication and Market Abuse surveillance in the financial services
Previous experience with e-communications surveillance system implementation or system enhancement
Knowledge of the Data Protection and Privacy laws is a strong plus (US, Europe and Asia Pacific)
Accuracy and high attention to detail – clear and precise report writing skills
Stakeholder Management – communicates complex and ambiguous topics with clarity and ease; able to interface with different stakeholders at all levels; skilled in both oral and written communication.
Problem solver and decision maker – effectively leverage internal resource and external industry / market insights to assimilate, synthesize, and recommend solutions for complex challenges; takes ownership to make informed and timely decisions and own implementation of solutions.
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 cultureWe lead with our Values every day and bring them to life together.
Boundless opportunityWe create opportunities to learn and grow at every stage of your career.
Continuous innovationWe invite you to help redefine the future of financial services.
Delivering the promise of Diversity, Equity and InclusionWe foster an inclusive workplace where everyone thrives.
Championing Corporate CitizenshipWe build a business that benefits all stakeholders and has a positive social and environmental impact.
About Manulife and John Hancock
Manulife Financial Corporation is a leading international financial services provider, helping people make their decisions easier and lives better. To learn more about us, visit https://www.manulife.com/en/about/our-story.html .
Manulife is an Equal Opportunity Employer
At Manulife/John Hancock, we embrace our diversity. We strive to attract, develop and retain a workforce that is as diverse as the customers we serve and to foster an inclusive work environment that embraces the strength of cultures and individuals. 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, colour, 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.
It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will work with applicants who request a reasonable accommodation during the application process. All information shared during the accommodation request process will be stored and used in a manner that is consistent with applicable laws and Manulife/John Hancock policies. To request a reasonable accommodation in the application process, contact recruitment@manulife.com .
Primary Location
Toronto, Ontario
Working Arrangement
Hybrid
Salary range is expected to be between
$123,400.00 CAD - $229,300.00 CAD
If you are applying for this role outside of the primary location, please contact recruitment@manulife.com 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 recruitment@manulife.com for more information about U.S.-specific paid time off provisions.
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