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Compliance Manager at Manulife - ApplyBlast

Compliance Manager

Manulife

4 months ago

3.9 on Glassdoor

Toronto, Ontario

Hybrid

Full Time

Senior

0 applicants

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About this role

This compliance role advises the Global Distribution team on sales practices under NI 81-105 and NI 81-102, ensuring adherence to regulations and internal policies. The position involves reviewing marketing materials, updating compliance frameworks, conducting investigations, and providing training to mitigate conflicts of interest within Manulife Wealth & Asset Management.

Responsibilities

Advise sales teams on regulatory requirements and internal policies related to sales practices
Review and monitor marketing materials for compliance with investment fund regulations
Update compliance policies and procedures to mitigate conflicts of interest
Conduct investigations into potential sales practice violations and regulatory non-compliance
Provide regulatory training and consultation to the sales department

Skills

Qualifications

Bachelor's/Master's DegreeCanadian Securities Course (CSC),3-5 Years Compliance ExperienceKnowledge of NI 81-102 and NI 81-105

About Manulife

manulife.com

Headquarters

Toronto, Ontario, Canada

Company Size

10001+ employees

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Manulife is a leading financial services group. We provide financial advice, insurance, as well as wealth and asset management solutions for individuals, groups and institutions.