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    Compliance Senior Associate - Toronto, Canada - Manulife

    Manulife
    Manulife Toronto, Canada

    3 weeks ago

    Default job background
    Full time
    Description

    Job Description

    :

    We're looking for a Compliance Senior Associate to join our Legal Compliance & Audit team at MBPS. This role identifies potential misconduct and violations to FINRA and SEC regulations or JHD/JHIMD policies and procedures by JH registered representatives.

    Key Responsibilities:

  • Review messages sent out by registered representatives on daily basis to detect misconduct and violations related to handling of PII, confidential and internal information, and offers of guarantees and recommendations related to JH securities business.
  • Conduct quality checking of peer's email review also on a daily basis to identify process gaps and areas of improvement.
  • Send out FINRA CE notices to registered representatives to remind them of their training and examinations as part of keeping their licenses.
  • Conduct training and support onboarding of new members of the team
  • Monitor system issues related to tools and applications, ensuring timely reporting and following through on resolution
  • Assist in providing relevant data for various reporting

    • Qualifications:

  • Work experience in finance or insurance operations is preferred but not required
  • For Internal Candidate - must be meeting all the service quality and productivity metrics for the last six months
  • Strong written and verbal communication skills
  • Must be proficient in using Microsoft Office Tools (Word, Excel and PowerPoint)
  • Accuracy and keen attention to details

    • Let's make every day better together. Learn about our opportunities at JOBS.MANULIFE.COM

    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. With our global headquarters in Toronto, Canada, we operate as Manulife across our offices in Asia, Canada, and Europe, and primarily as John Hancock in the United States. We provide financial advice, insurance, and wealth and asset management solutions for individuals, groups and institutions. At the end of 2022, we had more than 40,000 employees, over 116,000 agents, and thousands of distribution partners, serving over 34 million customers. At the end of 2022, we had $1.3 trillion (US$1.0 trillion) in assets under management and administration, including total invested assets of $0.4 trillion (US $0.3 trillion), and segregated funds net assets of $0.3 trillion (US$0.3 trillion). We trade as 'MFC' on the Toronto, New York, and the Philippine stock exchanges, and under '945' in Hong Kong.

    Manulife is an Equal Opportunity Employer

    At Manulife/JohnHancock, we embrace our diversity. We strive to attract,developandretaina workforce that is as diverse as the customers we serve and to foster an inclusive work environment that embraces the strength of cultures and individuals. We are committed to fair recruitment, retention, advancement and compensation, and we administer all of our practices and programs without discrimination on the basis of race, ancestry, place of origin,colour, ethnic origin, citizenship, religion or religious beliefs, creed, sex (including pregnancy and pregnancy-related conditions), sexual orientation, genetic characteristics, veteran status, gender identity, gender expression, age, marital status, family status, disability, or any other ground protected by applicable law.

    It is our priority to remove barriers toprovideequal access to employment. A Human Resources representative will work with applicants who request a reasonable accommodation during the application process. All information shared during the accommodation request process will be stored and used in a manner that is consistent withapplicable laws and Manulife/John Hancock policies. To request a reasonable accommodation in the application process, contact .

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