English description to follow.
- Inscrit à titre de superviseur et représentant inscrit auprès de l’OCRCVM et en tant que Directeur de succursale avec ACCFM.
- Assurer la surveillance de niveau 1.
- Revoir et approuver les nouveaux comptes, ainsi que tous les changements matériels pour les comptes existants.
- Effectuer la vérification / l'examen des succursales.
- Prêter main forte à l'équipe de la conformité en veillant à l'application cohérente du programme de conformité, en participant activement aux réunions de l'équipe, en aidant à atteindre ses objectifs et en collaborant aux projets d'équipe.
- Escalader les plaintes et participer à l'étude des dossiers et à leur règlement au besoin.
- Traiter les problèmes de non-conformité signalés et les régler de façon appropriée, de même que les transmettre à l'échelon supérieur, selon le cas.
Are you looking for unlimited opportunities to develop and succeed? With work that challenges and makes a difference and a flexible and supportive environment, we can help our customers achieve their dreams and aspirations.
Registered as a Supervisor and accountable to the Regional Compliance Officer (RCO) for providing Daily Tier 1 supervision of advisors registered through the Mutual Fund Dealers Association (MFDA) and the Investment Industry Regulatory Organization of Canada (IIROC). The Branch Manager will be the key day-to-day contact for compliance related matters and will be responsible for assisting advisors and Branch Managers in understanding account suitability, compliance requirements and will also monitor to ensure that the business being conducted is within the bounds of ethical conduct.
- The Branch Manager is responsible for Daily Tier 1 supervision for advisors and Non-Employee Branch Managers (BMs)
- Review and approve new accounts and material changes to existing accounts.
- Key day-to-day contact for advisors and BMs mapped to them regarding compliance related matters.
- Provide back up Daily Tier 1 supervision for other BMs as required.
- Inform, clarify and explain Dealer policy and other regulatory requirements to the advisors and BMs under their supervision.
- Perform Branch Visits to ensure advisors and BMs are utilizing compliant business practices and operating within the bounds of ethical conduct.
- Support RCO by participating in regulatory audits and other Branch Reviews/Examinations within the region.
- Build on the strength of Compliance team and consistency in the implementation of the compliance program by actively participating in team meetings, contributing toward team goals and participating on project teams.
- Perform Advisor Risk Management reviews as required [program TBD].
- Assist in training new BMs located in Branches under their supervision.
- Enforce/oversee strict or close supervision of any advisor or BM mapped to the Senior Branch Manager.
- Act as an escalation point for complaints and participate in complaint investigation and resolution process as required. Problem-solve and deal with compliance issues as identified including appropriate resolution and/or appropriate escalation to supervisor.
- Provide support and leadership to employee Branch Managers within territory if required.
- Provide overall management direction;
- Effective recruitment, retention and development of staff and the creation of a positive work environment that encourages participation, ownership, responsibility, innovation, initiative, integrity and a sense of pride in the operations and in Manulife in general;
- Provide clarification of policy and procedures; provide on going training and tools;
- Ensure consistency across the region; and
- Ensure that BMs are carrying out effective trade supervision.
- Other duties as may be assigned by their RCO.
- Doit remplir les conditions nécessaires pour être inscrit auprès de l'OCRCVM et de l'ACCFM
- Doit avoir réussi le Cours sur le commerce des valeurs mobilières au Canada, le Cours relatif au Manuel sur les normes de conduite de CSI, e Cours à l'intention des directeurs de succursale de CSI
- Au moins trois à cinq années d'expérience en tant dans l’industrie des services financiers, avec soit l’OCRCVM ou l’ACCFM
- Habiletés à travailler dans un environnement en constant évolution
- Sens organisationnelle et capacité de prioriser
- Grande facilité pour négocier et convaincre
- Excellentes aptitudes pour les communications orales et écrites en anglais et en français
- Habilités à faire des présentations à des groupes
- Bilinguisme écrit et parlé, français et anglais
- Must qualify to be registered with both IIROC and MFDA
- Must have completed the Canadian Securities Course, CSI Conducts and Practices Handbook, CSI Partners, Directors and Senior Officers course, CSI Branch Manager’s Course, Effective Management Seminar, CSI Professional Financial Planning Course or Wealth Management Essentials
- CFP or CFA desired
- Experience as an advisor or experience working in an advisor office preferred.
- Minimum of five years experience as a salesperson, trading partner, director, officer or compliance officer registered under the applicable securities legislation or have a minimum of two years of equivalent experience to become registered as a Branch Manager.
- Strong knowledge of the rules and regulations governing the and securities industry
- Strong investigative and analytical skills
- Strong negotiation, mediation and influencing skills
- Strong analytical/investigative skills.
- Strong oral and written communication skills.
- Ability to work with minimum supervision
- Attention to detail
- This role has a regulatory responsibility for the day-to-day supervision of advisors and BMs, many of whom view themselves as independent.
- This position is a “gatekeeper” role, including responsibility to challenge and/or decline mutual funds and other securities related transactions that do not meet regulatory Know Your Client suitability requirements.
- This role must enforce rules or regulations that are in some cases unpopular requiring good communication and influencing skills.
- Some processes of the job (e.g., daily trade blotter supervision) are routine but the degree of subjective assessment required make this an important compliance oversight function.
- May be required to work in an environment that is physically remote from head office management and team members are located across wide geographic regions. Direct reports are frequently located in another office.
Manulife Financial Corporation is a leading international financial services group that helps people achieve their dreams and aspirations by putting customers' needs first and providing the right advice and solutions. We operate primarily as John Hancock in the United States and Manulife elsewhere. We provide financial advice, insurance, as well as wealth and asset management solutions for individuals, groups and institutions. At the end of 2017, we had approximately 34,000 employees, 73,000 agents, and thousands of distribution partners, serving more than 26 million customers. As of December 31, 2017, we had over $1.04 trillion (US$829.4 billion) in assets under management and administration, and in the previous 12 months we made $26.7 billion in payments to our customers. Our principal operations are in Asia, Canada and the United States where we have served customers for more than 100 years. With our global headquarters in Toronto, Canada, we trade as 'MFC' on the Toronto, New York, and the Philippine stock exchanges and under '945' in Hong Kong.
Legal & Compliance