Compliance Director, Policy Training and Workflow - Oakville, Canada - Manulife

Manulife
Manulife
Verified Company
Oakville, Canada

2 weeks ago

Sophia Lee

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Sophia Lee

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Description

We are a leading financial services provider committed to making decisions easier and lives better for our customers and colleagues around the world.

From our environmental initiatives to our community investments, we lead with values throughout our business.

To help us stand out, we help you step up, because when colleagues are healthy, respected and meaningfully challenged, we all thrive.

Discover how you can grow your career, make impact and drive real change with our Winning Team today.


Working Arrangement
Hybrid


The opportunity


Reporting to the VP Chief Legal & Compliance Officer the Director, Compliance Policy, Training and Workflow Development provides leadership and strategic development to policy development and implementation in the Manulife Securities, regulated by CIRO.


Responsibilities

  • Lead all aspects of and own the department policy and training change process:
  • Build, write and edit policy and training content for dealer policies, procedures, training, guides, forms or other reference materials for staff and advisors.
  • Be a key support and partner for workflow technology and processes to keep delivery models updated to improve delivery and productivity.
  • Obtain and document all required approvals and processes.
  • Build content for the Compliance newsletter to communicate key policy changes to advisors and staff.
  • Lead and support the compliance framework to optimally deliver:
  • Efficient and timely development and maintenance of procedures and processes.
  • Effective implementation through partner engagement with advisory services, operations, technology, business management and thirdparty vendors and partners.
  • Timely reporting, resolution and advancement of significant issues and risks.
  • Act as representative of Compliance program on central initiatives and projects.
  • Partner effectively with strategic, business, and operations partners.
  • Lead technology workflow enhancement projects to improvement department productivity, efficiency, and effectiveness.
  • Administer and support the adoption of compliance electronic infrastructure, including Databases, Information Mapping, Archer, SharePoint, and other electronic workflow.
  • Undertake data collection, analysis and preparation of reports required for senior management, regulators, and other interested parties as required.
  • Build and maintain strong collaborative relationships with Advisory Services management and departments and other Canadian Division business units.
  • Ensure that vital and appropriate information is communicated to compliance department management and partners in a clear and timely manner.
  • Participate in industry forums, to understand new policy and regulatory issues facing the compliance program.
  • Research, develop, coordinate, implement and lead special projects that are assigned by the reporting manager.
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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.

Job Requirement

  • Bachelor's Degree, College Diploma, or relevant industry courses.
  • Specific Industry certification is preferred, including the Canadian Securities Course and the Conduct and Practices Handbook Exam.
  • 510 years of senior compliance experience in the financial services industry.
  • Indepth knowledge of CIRO rules and the Securities Act, and relevant legislation and regulatory framework and requirements.
  • Advanced knowledge of securities industry, gained through experience, course study and/or involvement in industry associations and working groups.
  • Excellent knowledge of administrative processes and procedures.
  • Strong project management skills

Excellent technology skills:
SharePoint, Word, Excel, PowerPoint, Outlook, Adobe Acrobat, and other workflow technology as required


What we are looking for

  • Solid ability to communicate sophisticated information clearly, verbally and in writing, issues, and circumstances to all levels of staff and management, including senior management.
  • Excellent planning, organizational, problem solving, project management and risk management skills.
  • Strong leadership and social skills to empower staff and exert influence across multiple levels of management.
  • Strong presentation skills
  • Able to assess and handle challenging business unit priorities.
  • Selfstarter with ability to complete tasks properly.
  • Ability to be flexible and adaptable to change.
  • Comfortable working with a wide variety of internal and thirdparty information systems. Bilingualism (English & French) an asset.

What can we offer you?

  • A competitive salary and b
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