Sr. Compliance Analyst

Are you looking for unlimited opportunities to develop and succeed? With work that challenges and makes a difference, within a flexible and supportive environment, we can help our customers achieve their dreams and aspirations.

Job Description

The Compliance Analyst researches regulations by reviewing regulatory bulletins and other sources of information. Prepares reports by collecting, analyzing, and summarizing information. Maintains rapport with regulatory personnel by arranging continuing contacts; resolving concerns. Plans and coordinates operational activities to guarantee compliance. Ensure that Manulife / JH is compliant with rules and regulations.

• Handles compliance department activities within established guidelines for quality and timeliness
• Regulatory Reporting
• Facilitate and lead MCE’s, OSFI Exams
• Support regulatory requests and inquiries
• Analyze policy level data to determine compliance or support a state request
• Ensure Business processes and procedures are compliant and facilitate mitigation/ remediation when required
• Monitor legislative bulletins to determine impact/effective data
• Assess Business Area compliance through risk assessments
• Continues to build strong working relationships with compliance and business partners
• Assists senior level team members with routine tasks and assignments
• Supports special projects
• Review compliance alerts and warnings generated Research each issue and report breaches and other significant findings to team
• Complete the annual prospectus/SAI guideline review and facilitate changes
• Prepare monthly compliance folders, including results of all automated and manual fund guideline rules in accordance with departmental procedures
• Review monthly compliance packages prepared by the sub-advisers to determine if the sub-advisers are properly monitoring or have reported any compliance breaches
• Assists senior level team members with additional routine and more senior tasks and assignments (i.e. data management, CRD upgrades, new sub-adviser on boarding (5%)
• Complete low to medium complexity investment compliance projects as needed (5%)
• Communicate and provide guidance to sub-advisers regarding compliance issues and/or reporting requests
• Shares best practices with other team members, ensuring consistency and scalability
• Legal and regulatory communications and settlements
• Decisions on regulatory settlement agreements and fines
• Performing quarterly reviews of transaction processing, business processes, etc. to ensure internal departments are complying with JHSS policies, federal securities regulations and tax laws
• Preparing quarterly Board reports
• Preparing, distributing and facilitating discussion of the Compliance Monitoring Report
• Coordinating audits and exams conducted by internal and external auditors
• Acting as liaison between JHSS and JHI Counsel

• BS/BA Degree
• 3-5 years of industry experience
• Ability to communicate clearly to non-technical audiences on defined contribution compliance issues
• Ability to prioritize, organize, and work on multiple tasks simultaneously
• Solid written and verbal communication skills. Use these skills while working with BU partners and with different levels of the organization.
• Solid technology skills; knowledge of or ability to learn applicable compliance or business systems
• Solid analytical and problem-solving skills.
• Detail oriented
• Exceptional task achievement skills in terms of achieving deadlines
• Strong ethical compass
• Disciplined
• Knowledge of the financial services industry including insurance and/or securities.
• Understanding of the regulatory environment in which the Company operates and some understanding of key compliance concepts.
• Developing negotiating, influencing, and relationship building skills.
• Ability to represent business internally (our department) and externally (outside our department) within the company.
• Ability to work with minimal supervision
• Authorities are related to case/policy level evaluations of regulatory compliance
• Manage sub-adviser monthly and quarterly deliverables to JH.
• Follow up with sub-advisers regarding compliance issues
• Ability to prioritize and reprioritize their own work deliverables under guidance of more senior people or manager for internal and external clients based on changing business needs.
• Recommending action, in some instances, based on stated policy
• Managing small-scope internal projects to achieve targets
• Ability to make minor decisions regarding compliance with guidance from more senior people or manager.
  

If you are ready to unleash your potential it’s time to start your career with Manulife/John Hancock.

About Manulife

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 Canada, Asia, 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 2019, we had more than 35,000 employees, over 98,000 agents, and thousands of distribution partners, serving almost 30 million customers. As of June 30, 2020, we had $1.2 trillion (US$0.9 trillion) in assets under management and administration, and in the previous 12 months we made $30.6 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 155 years. 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. We strive to attract, develop and retain a 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 and advancement and we administer all of our practices and programs based on qualification and performance and without discrimination on any protected ground.

It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will consult with applicants contacted to participate at any stage of the recruitment process who request any accommodation. Information received regarding the accommodation needs of applicants will be addressed confidentially.