Overview
Compliance Manager, Sales Communications Jobs in Toronto – Ontario at Company 1 – The Manufacturers Life Insurance Company
Title: Compliance Manager, Sales Communications
Company: Company 1 – The Manufacturers Life Insurance Company
Location: Toronto – Ontario
Category: Finance & Banking, Marketing / Advertising / PR
Description Compliance Manager, Distribution Communications This role reports directly to the Associate Vice President (AVP), Head of the Distribution Compliance Center of Expertise for Manulife Investment Management Canada (MIM), while also matrix reporting to the Chief Compliance Officer of Manulife Wealth Inc, a CIRO member firm.
The manager is responsible for providing dedicated dealer sales and marketing compliance oversight,
leadership
, expertise, guidance and supervision for sales and marketing material for Manulife Wealth’s approximately 1200 advisors across Canada. The manager is responsible for the growth and oversight of the dedicated sales communications compliance team using
modern
software to help track, review and approve marketing material..
Key Accountabilities:
Provide dependable
leadership
and
comprehensive training
to the sales
communication
compliance team, to empower them to deliver professional and efficient subject matter expertise to support the approval of time-sensitive marketing material for Manulife Wealth advisors. Conduct risk-based compliance analysis of the program and offer relevant strategic guidance for marketing needs related to advisor and dealer business initiatives. This can include evaluating and supporting new business channels such as US advisor marketing review regulatory requirements.
Enhance and update Manulife Wealth’s Sales
Communication
and Sales Practice Compliance-related policies and procedures, and related training needs. Continuously improve the marketing compliance program to meet regulatory standards while optimizing efficiency and embracing digitalization. Lead the identification and implementation of cutting-edge technology applications to streamline compliance programs, and to ensure they are efficient, effective and exhibit industry best practices. Foster and maintain strong partnerships with advisors, the other Manulife Wealth compliance departments and colleagues, and with other business units within Manulife Investment Management Canada, promoting appropriate
collaboration
and synergy in compliance efforts.
Stay abreast of relevant regulatory trends and assess their impact on advisors and the dealer level and communicate and reflect any changes properly in the marketing compliance program to ensure Manulife Wealth maintains a robust marketing compliance program. Collaborate with team members from the Global Distribution Compliance Center of Expertise, contributing to the development of a global best practice framework.
Support harmonization efforts to enhance compliance best practices where applicable. Deliver high-quality compliance training and consultation to advisors and internal stakeholders, ensuring a comprehensive understanding of regulatory requirements, internal policies, procedures, and compliance systems. Ensure timely reporting and escalation of key risks, initiatives, and data to both the direct and matrix manager, facilitating informed decision-making and proactive risk management.
What will be expected from me?
Possess a minimum of five years of compliance experience in compliance at a CIRO member firm, three of which should be in a marketing compliance role.
Previous experience as a people leader.
Demonstrate an in-depth knowledge of CIRO marketing regulations pertaining to sales communications. This includes a comprehensive underst…
