Sales Communications Compliance Officer - Toronto, Canada - Manulife

Manulife
Manulife
Verified Company
Toronto, Canada

1 week 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 Sales Communications Compliance Officer will report directly to the Senior Compliance Officer and will be responsible for the supervision and approval of all Advisor and Head Office advertising, sales communications, and co-op marketing ventures.


Key Accountabilities:


  • Responsible for completing the review, supervision, and final approval on behalf of the MFDA and IIROC Dealers for all advertising, sales communications (including content distributed through electronic means), and coop marketing requests for Advisors and Head Office. Ensure all requests meet compliance for regulatory requirements and company policy.
  • Produce a welldocumented audit trail of the supervision process to evidence that reviews and approvals completed by the Sales Communications department were conducted in accordance with regulatory requirements.
  • Detect and report any concerns relating to Advisors' marketing and advertising activities that may pose a risk for the Advisor, the Dealer, and the integrity of the Manulife brand and be able to identify those concerns that require advancement.
  • Administer the social media compliance supervising tool. Complete initial reviews and approvals of all Advisors' Social Media profiles and posted content through the compliance tool for IIROC and MFDA Advisors for both static and active social media sites (LinkedIn, Twitter, Facebook).
  • Conduct ongoing social media supervision, for alerts received under the configured compliance policies for changes to profiles or content that have been flagged and maintain compliance workflow and incident logging.
  • Review and approve all Advisors' website material for content run through the Dealer's approved website vendor(s) and custom websites. Have oversight of changes made to website content using the approved vendor(s) compliance tools. Maintain accurate digital records of the regulatory supervision audit trail and archived data.
  • Provide the Dealer's Advisors with high quality, accurate and timely compliance direction, advice, and support and keep advisors informed of their ongoing compliance responsibilities and requirements.
  • Assist the Manager to develop and improve corporate guidelines with respect to sales communications and coop marketing supervision processes and remain well informed of industry rule changes.
  • Assist in responding to investigations, audits, and regulatory reviews
  • Other duties may be assigned by the reporting Manager

Proficiencies:


  • Bachelor's Degree/College Diploma
  • Preferred proficiency courses: Canadian Securities Course, CSI Conduct and Practices Handbook Course
  • Minimum two years of experience in a mutual fund dealer, a securities dealer, or a financial industry related firm preferred
  • Detailed knowledge of the rules and regulations governing the financial services industry with respect to sales communication and coop marketing material
  • Knowledge of the products offered by the mutual fund and securities dealers
  • Strong technology knowledge and skills
  • Strong social skills and ability to prioritize tasks
  • Must possess outstanding communications skills, verbal and written
  • Possess strong timemanagement skills and highly detail oriented
  • Must be adaptable and able to react to changing needs
  • Ability to multitask and perform in a multidimensional work environment
  • Bilingualism (English & French) an asset

What can we offer:


  • A competitive salary and benefits packages.
  • A growth trajectory that extends upward and outward, encouraging pursuit of passions and learning new skills.
  • A focus on growing your career pathways
  • Flexible work policies and strong worklife balance. Professional development and leadership opportunities.

Our commitment:


  • Valuesfirst culture
We lead with our Values every day and bring them to life together.

  • Boundless opportunity
We build opportunities to learn and grow at every career stage.

  • Continuous innovation
We invite you to help redefine the future of financial services.

  • Delivering the promise of Diversity, Equity and Inclusion
We foster an inclusive environment where everyone thrives.

  • Championing Corporate Citizenship
We build a business that benefits all partners and has a positive social and environmental impact.

LI-Hybrid


About Manulife and John Hancock
Manulife Financial Corporation is a leading international financial services group that helps people make their decisions easier and lives better
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