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Supporting the Canadian Investment Compliance team, the Compliance Analyst is accountable for providing a full range of compliance and administrative support. Utilizing solid business acumen, strong judgment, professionalism and confidentiality the incumbent will deal with potentially sensitive situations that require tact and diplomacy. The incumbent will effectively manage a compliance databases and user site (Archer, SharePoint), perform testing, and assist in monitoring and reporting to ensure compliance with policies and procedures. In addition, this incumbent will manage budget responsibilities, travel for the department and other administrative responsibilities.
Compliance Management (65%)
- Independently respond to questions and situations using discretion and judgment based on knowledge of business unit(s) activities. Independently investigate problems as assigned by manager, determining method of research, data requirements and analysis techniques.
- Regularly reviews the compliance and issue management database to ensure that relevant records, including controls, descriptions, evaluation dates, etc. are created, revised and validated as necessary and following up with appropriate personnel to address any issues
- Assisting the Chief Compliance Officer (CCO) and his management team in preparation of reporting to the IRC, Board of Directors and Committees.
- Assist the CCO MAML with on-line filings and updates.
- Perform searches and processes ad hoc inquiries.
- Identify and circulate regulatory changes and significant industry events.
- Tracks compliance with policies and procedures and reports results monthly to CCO.
- Updates Compliance regulatory changes in the Archer compliance management system.
- Handle budget issues as assigned. Track Executives expenses and invoices and ensure payments are coded to the appropriated account. Report on monthly variances and research discrepancies. Calculate and execute expense chargebacks.
- Schedule appointments and meetings for department personnel.
- Maintain an effective filing system for Executive and any other assigned areas, including confidential data and ensure records are accurate and up-to-date.
- Handle confidential information and interact with all levels of management, other departments, internal and external customers using tact and diplomacy in all dealings.
- Support visiting Executives during their visits to include materials for meetings, schedule updates, reservations, material preparation or other duties as assigned.
- Prepares/produce reports, letters, graphics and other documents and handle correspondence as directed. Coordinates information for use in reports and meetings which may include creating meeting agenda's. Utilize advanced software/specialized department software to generate reports, correspondence, analysis, in-house publications, etc.
- Undergraduate Degree or the equivalent
- Canadian Securities Course
- Working knowledge of compliance regulations
- Prior expense management experience.
- Minimum 3+ years progressive administrative experience in a senior management environment
- Ability to set priorities, handle multiple tasks, and meet deadlines
- Flexible and adaptable to rapidly changing priorities and the ability to handle confidential information
- Typing and proficiency in Windows based computer applications (Word, PowerPoint, Excel)
- Able to work well with all levels of personnel
- Working knowledge of investment advisory business, compliance regulations and …. Regulations
- Excellent research, analytical skills & problem solving skills
- Able to operate independently
- Highly developed verbal and written communication skills
- Strong organizational skills, strong follow though
- Technical resource to others
- Must be able to collaborate with other Company resources to add value to BU and minimize disruptions.
This Position Description is intended to describe the general nature and level of the work being performed by employees in this job. It is not intended to be a complete list of all responsibilities, duties and skills required for this job classification.
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