Compliance Specialist, Workflow, Policy and Training

Job Description

Compliance Officer, Workflow, Policy and Training (CO)

This position reports to the Manager, Compliance Workflow Policy and Training.

The CO uses in-depth knowledge of CIRO and securities regulatory requirements to keep current dealer policies, training and workflow refreshed and functioning.

This program allows the firm to supervise optimally and efficiently, delivering relevant policies, training, and updates using modern technology and workflow solutions.

The incumbent should have a proven grasp of CIRO requirements, industry standard methodologies and use of innovative technology, including some AI-based tools.

The CO should become comfortable with implementing and supervising continuous modern workflow technology to deliver best in breed training to partners.

Key Accountabilities :

• Help develop and deliver policies and training to support partners with required regulatory knowledge.
• Build, write and edit policy and training content for dealer policies, procedures, training, guides, forms or other reference materials for staff and advisors.
• Liaise with subject matter authorities, leaders and senior management in the department and the business to ensure the accuracy of content and compliance with securities laws and regulatory requirements.
• Acquire and detail all required approvals and processes.
• Build strong collaborative relationships with Advisory Services management and departments and other Canadian Division business divisions.
• Participate in industry forums, to understand new policy and regulatory issues facing the compliance program.
• Ensure that vital and appropriate information is communicated to compliance department management and partners in a clear and timely manner.
• Build content for the Compliance newsletter to communicate key policy changes to advisors and staff.
• Research, develop, coordinate, implement and lead special projects that are assigned by the reporting manager.
• Be a key support and partner for workflow technology and processes to improve efficiency and productivity.
• Design, develop, and customize SharePoint solutions using strong practices and industry standards.
• Collaborate with partners to capture requirements and translate them into technical specifications.
• Implement and customize SharePoint features, web parts, and workflows to automate business processes.
• Build and maintain Power BI reports and dashboards to visualize data and provide insights to partners.
• Use Power Automate to automate workflows and integrate SharePoint with other systems and applications.
• Provide technical support and mentorship to end users and assist in training initiatives.

Job Requirement (Experience, Knowledge) :

• 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.
• Strong capability to use and implement modern technology
• 2 + years of compliance experience in the financial services industry.
• Knowledge of CIRO rules and the Securities Act, and relevant legislation and regulatory framework and requirements.
• Excellent technology skills : SharePoint, Power BI, Power Automate, Word, Excel, PowerPoint, Outlook, Adobe Acrobat

What will be expected from Me?

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

Our commitment :

• Values-first culture!
• A competitive salary and benefits packages.
• Boundless opportunity
• We create opportunities to learn and grow at every stage of your career.
• 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 workplace 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.

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

Salary & Benefits

The annual base salary for this role is listed below.

Primary Location

Oakville, Ontario

Salary range is expected to be between

$70,350.00 CAD - $117,250.00 CAD

If you are applying for this role outside of the primary location, please contact for the salary range for your location.

The actual salary will vary depending on local market conditions, geography and relevant job-related factors such as knowledge, skills, qualifications, experience, and education / training.

Employees also have the opportunity to participate in incentive programs and earn incentive compensation tied to business and individual performance.

Manulife offers eligible employees a wide array of customizable benefits, including health, dental, mental health, vision, short- and long-term disability, life and AD&D insurance coverage, adoption / surrogacy and wellness benefits, and employee / family assistance plans.

We also offer eligible employees various retirement savings plans (including pension and a global share ownership plan with employer matching contributions) and financial education and counseling resources.

Our generous paid time off program in Canada includes holidays, vacation, personal, and sick days, and we offer the full range of statutory leaves of absence.

If you are applying for this role in the U.S., please contact for more information about U.S.-specific paid time off provisions.