36 Banking Compliance jobs in Canada

As a Compliance Officer (CO), your objective is to directly conduct and provide compliance monitoring, direction, advice and support for Manulife Wealth to provide reasonable assurance that:
+ The dealer and its employees/agents follow securities regulatory requirements and internal policies and procedures;
+ The risk or reputational damage, regulatory sanction and disciplinary actions, client complaints and civil litigation is low.
+ Compliance violations and risk situations are actively identified, investigated and resolved or raised in an appropriate and timely manner
The dealer's employees /agents receive high-quality, accurate and timely compliance direction, advice, support and service and employees /agents are educated on their compliance responsibilities and requirements.
You will lead head office Tier 2 compliance activities for assigned regional groups adhering to regulatory requirements (those established by securities regulations and Self-Regulatory Organizations (SRO) including CIRO as well as internal policies and procedures.
**Position Responsibilities:**
+ Independently conducts relevant research and arrives at conclusions and/or recommendations based on the exercise of good judgement on moderately sophisticated issues. Matters that are: i) of an advanced sophisticated nature in which further mentorship is needed or ii) fall outside of existing policies are raised to the Senior Compliance Officer for assistance. Critical matters are immediately advanced to the Manager Tier 2 Compliance.
+ Actively identifies violations of regulatory requirements, internal policies and procedures or other risk situation at an early stage. Inquiries and investigations in relation to such situation are conducted on time as well as applying appropriate corrective actions and/or risk mitigation activities.
+ Compliance review procedures are conducted in a high quality, risk-based manner and appropriate follow-up actions are taken.
+ Conducts head office compliance oversight (Tier II surveillance duties) by reviewing reports in accordance with applicable regulatory requirements and internal policies and procedures to detect violations and potential violations warranting further investigation.
+ Conducts specific purpose compliance reviews, in order to identify potential compliance gaps, either on an active basis or as prompted by events such as client complaints, regulatory investigations, etc.
+ Participate in special projects requiring specialist compliance input and expertise.
+ Assists in identifying gaps in the existing compliance program and participated in developing, maintaining and implementing changes to the firm's compliance policies and procedures.
+ Maintains a level of awareness of compliance related changes and developments in the securities industry through review of publications, participation in industry associations, employee development initiative, etc.
+ Complete other duties and project as assigned from time to time including, but not limited to, acting as back-up to colleagues.
**Required Qualifications:**
+ College Diploma or University Degree required.
+ Over 3 years of relevant investment proven experience, preferably with a CIRO and/or MFDA member firm, in a compliance role or other relevant functional area (e.g. trading, operations, sales)
+ Knowledge and understanding of the firm's compliance policies and procedures and the practical application of relevant provincial securities and SRO (CIRO, Exchanges) rules and regulations and other applicable regulatory requirements, such as AML/CTF and Privacy.
+ Deep understanding of the general characteristics, attribute and risk factors associate with various securities and investment strategies for assessing matter such as suitability and legitimacy of investment activities.
+ Deep understanding of the firm's business practices, organizational structure and general policies and procedures.
+ Proven understanding of laws governing matters such as powers of attorney, trust, estates, unclaimed property and similar as they relate to the operation of brokerage and mutual fund dealer accounts.
+ Strong written and verbal business communication skills.
+ Proficient knowledge of Microsoft applications (including Word, Excel and Power Point) and familiarity with the internet and related applications as tools.
+ Capable of simultaneously prioritizing multiple task and meeting strict deadlines.
+ Well-developed inter-personal skills to provide a high-level o of service and maintain working relationships with assigned groups and team members.
+ Able to recognize and handle confidential information.
+ Self-motivate, confident and capable of working both independently and in a team environment.
+ Outstanding planning, organizational and time management skills.
+ Preferred Qualifications:
+ Prior or ongoing completion of Canadian Securities Institute (CSI) securities courses: Canadian Securities Course, Conduct and Practices Handbook Course and the Investment Dealers Supervisors course is considered an asset
+ Bilingualism (French, English, both oral and written) is an asset as we support English and French-speaking clients across Canada.
**When you join our team:**
+ We'll empower you to learn and grow the career you want.
+ We'll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
+ As part of our global team, we'll support you in shaping the future you want to see.
#LI-Hybrid
**Acerca de Manulife y John Hancock**
Manulife Financial Corporation es un importante proveedor internacional de servicios financieros que ayuda a las personas a tomar decisiones de una manera más fácil y a vivir mejor. Para obtener más información acerca de nosotros, visite .
**Manulife es un empleador que ofrece igualdad de oportunidades**
En Manulife/John Hancock, valoramos nuestra diversidad. Nos esforzamos por atraer, formar y retener una fuerza laboral tan diversa como los clientes a los que prestamos servicios, y para fomentar un entorno laboral inclusivo en el que se aprovechen las fortalezas de las culturas y las personas. Estamos comprometidos con la equidad en las contrataciones, la retención de talento, el ascenso y la remuneración, y administramos todas nuestras prácticas y programas sin discriminación por motivos de raza, ascendencia, lugar de origen, color, origen étnico, ciudadanía, religión o creencias religiosas, credo, sexo (incluyendo el embarazo y las afecciones relacionadas con este), orientación sexual, características genéticas, condición de veterano, identidad de género, expresión de género, edad, estado civil, estatus familiar, discapacidad, o cualquier otro aspecto protegido por la ley vigente.
Nuestra prioridad es eliminar las barreras para garantizar la igualdad de acceso al empleo. Un representante de Recursos Humanos trabajará con los solicitantes que requieran una adaptación razonable durante el proceso de solicitud. Toda la información que se haya compartido durante el proceso de solicitud de adaptación se almacenará y utilizará de manera congruente con las leyes y las políticas de Manulife/John Hancock correspondientes. Para solicitar una adaptación razonable en el proceso de solicitud, envíenos un mensaje a .
**Referenced Salary Location**
Toronto, Ontario
**Modalidades de Trabajo**
Híbrido
**Salary range is expected to be between**
$71,925.00 CAD - $119,875.00 CAD
Si se está postulando para este puesto fuera de la ubicación principal, póngase en contacto con para conocer el rango salarial de su ubicación. El salario real variará según las condiciones locales del mercado, la geografía y los factores relacionados con el trabajo pertinentes, como conocimiento, habilidades, calificaciones, experiencia y educación/capacitación. Los empleados también tienen la oportunidad de participar en programas de incentivos y obtener una compensación de incentivos vinculada al desempeño comercial e individual.
Manulife ofrece a los empleados aptos una amplia variedad de beneficios personalizables, entre ellos, beneficios de salud, odontológicos, de salud mental, oftalmológicos, por discapacidad a corto y a largo plazo, cobertura de seguro de vida y por muerte accidental y desmembramiento, adopción/subrogación y bienestar, y planes de asistencia al empleado/familiar. También ofrecemos a los empleados admisibles varios planes de ahorro para la jubilación (incluidos planes de pensiones y un plan mundial de propiedad de acciones con contribuciones equivalentes del empleador) y recursos de asesoramiento y educación financiera. Nuestro generoso programa de tiempo libre remunerado en Canadá incluye feriados, vacaciones, días personales y días por enfermedad, y ofrecemos la gama completa de ausencia laboral reglamentaria. Si se está postulando para este puesto en los EE. UU., póngase en contacto con para obtener más información sobre las disposiciones relativas al tiempo libre remunerado específicas de EE. UU.

As a Compliance Officer (CO), your objective is to directly conduct and provide compliance monitoring, direction, advice and support for Manulife Wealth to provide reasonable assurance that:
+ The dealer and its employees/agents follow securities regulatory requirements and internal policies and procedures;
+ The risk or reputational damage, regulatory sanction and disciplinary actions, client complaints and civil litigation is low.
+ Compliance violations and risk situations are actively identified, investigated and resolved or raised in an appropriate and timely manner
The dealer's employees /agents receive high-quality, accurate and timely compliance direction, advice, support and service and employees /agents are educated on their compliance responsibilities and requirements.
You will lead head office Tier 2 compliance activities for assigned regional groups adhering to regulatory requirements (those established by securities regulations and Self-Regulatory Organizations (SRO) including CIRO as well as internal policies and procedures.
**Position Responsibilities:**
+ Independently conducts relevant research and arrives at conclusions and/or recommendations based on the exercise of good judgement on moderately sophisticated issues. Matters that are: i) of an advanced sophisticated nature in which further mentorship is needed or ii) fall outside of existing policies are raised to the Senior Compliance Officer for assistance. Critical matters are immediately advanced to the Manager Tier 2 Compliance.
+ Actively identifies violations of regulatory requirements, internal policies and procedures or other risk situation at an early stage. Inquiries and investigations in relation to such situation are conducted on time as well as applying appropriate corrective actions and/or risk mitigation activities.
+ Compliance review procedures are conducted in a high quality, risk-based manner and appropriate follow-up actions are taken.
+ Conducts head office compliance oversight (Tier II surveillance duties) by reviewing reports in accordance with applicable regulatory requirements and internal policies and procedures to detect violations and potential violations warranting further investigation.
+ Conducts specific purpose compliance reviews, in order to identify potential compliance gaps, either on an active basis or as prompted by events such as client complaints, regulatory investigations, etc.
+ Participate in special projects requiring specialist compliance input and expertise.
+ Assists in identifying gaps in the existing compliance program and participated in developing, maintaining and implementing changes to the firm's compliance policies and procedures.
+ Maintains a level of awareness of compliance related changes and developments in the securities industry through review of publications, participation in industry associations, employee development initiative, etc.
+ Complete other duties and project as assigned from time to time including, but not limited to, acting as back-up to colleagues.
**Required Qualifications:**
+ College Diploma or University Degree required.
+ Over 3 years of relevant investment proven experience, preferably with a CIRO and/or MFDA member firm, in a compliance role or other relevant functional area (e.g. trading, operations, sales)
+ Knowledge and understanding of the firm's compliance policies and procedures and the practical application of relevant provincial securities and SRO (CIRO, Exchanges) rules and regulations and other applicable regulatory requirements, such as AML/CTF and Privacy.
+ Deep understanding of the general characteristics, attribute and risk factors associate with various securities and investment strategies for assessing matter such as suitability and legitimacy of investment activities.
+ Deep understanding of the firm's business practices, organizational structure and general policies and procedures.
+ Proven understanding of laws governing matters such as powers of attorney, trust, estates, unclaimed property and similar as they relate to the operation of brokerage and mutual fund dealer accounts.
+ Strong written and verbal business communication skills.
+ Proficient knowledge of Microsoft applications (including Word, Excel and Power Point) and familiarity with the internet and related applications as tools.
+ Capable of simultaneously prioritizing multiple task and meeting strict deadlines.
+ Well-developed inter-personal skills to provide a high-level o of service and maintain working relationships with assigned groups and team members.
+ Able to recognize and handle confidential information.
+ Self-motivate, confident and capable of working both independently and in a team environment.
+ Outstanding planning, organizational and time management skills.
+ Preferred Qualifications:
+ Prior or ongoing completion of Canadian Securities Institute (CSI) securities courses: Canadian Securities Course, Conduct and Practices Handbook Course and the Investment Dealers Supervisors course is considered an asset
+ Bilingualism (French, English, both oral and written) is an asset as we support English and French-speaking clients across Canada.
**When you join our team:**
+ We'll empower you to learn and grow the career you want.
+ We'll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
+ As part of our global team, we'll support you in shaping the future you want to see.
#LI-Hybrid
**Giới thiệu về Manulife và John Hancock**
Tập đoàn Manulife Financial là nhà cung cấp dịch vụ tài chính quốc tế hàng đầu giúp mọi người quyết định dễ dàng hơn và có cuộc sống vẹn toàn hơn. Để tìm hiểu thêm về chúng tôi, hãy truy cập .
**Manulife là Nhà sử dụng lao động không phân biệt đối xử**
Tại Manulife/John Hancock, chúng tôi luôn đón nhận sự đa dạng. Chúng ta cố gắng thu hút, phát triển và duy trì lực lượng lao động đa dạng tương tự như những khách hàng mà chúng ta phục vụ, đồng thời thúc đẩy một môi trường làm việc hòa nhập, đề cao thế mạnh của từng nền văn hóa và cá nhân. Chúng ta cam kết tuyển dụng, duy trì, thăng tiến và trả lương một cách công bằng. Đồng thời, chúng ta quản lý tất cả các hoạt động và chương trình của mình mà không phân biệt đối xử dựa trên chủng tộc, dòng họ, xuất thân, màu da, nguồn gốc dân tộc, quyền công dân, tôn giáo hoặc tín ngưỡng tôn giáo, đức tin, giới tính (bao gồm phụ nữ mang thai và các tình trạng liên quan đến mang thai), xu hướng tính dục, đặc điểm di truyền, tình trạng cựu chiến binh, bản dạng giới, biểu hiện giới, tuổi tác, tình trạng hôn nhân, tình trạng gia đình, khuyết tật hoặc bất kỳ căn cứ nào khác được pháp luật hiện hành bảo vệ.
Ưu tiên của chúng ta là loại bỏ các rào cản để đem lại cơ hội tiếp cận việc làm bình đẳng. Đại diện Bộ phận Nhân sự sẽ làm việc với những ứng viên có yêu cầu điều chỉnh hợp lý trong quá trình ứng tuyển. Tất cả thông tin được chia sẻ trong quá trình yêu cầu điều chỉnh sẽ được lưu trữ và sử dụng tuân theo pháp luật hiện hành và chính sách của Manulife/John Hancock. Để yêu cầu điều chỉnh hợp lý trong quá trình ứng tuyển, hãy liên hệ với .
**Referenced Salary Location**
Toronto, Ontario
**Working Arrangement**
Kết hợp
**Salary range is expected to be between**
$71,925.00 CAD - $119,875.00 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.

As a Compliance Officer (CO), your objective is to directly conduct and provide compliance monitoring, direction, advice and support for Manulife Wealth to provide reasonable assurance that:
+ The dealer and its employees/agents follow securities regulatory requirements and internal policies and procedures;
+ The risk or reputational damage, regulatory sanction and disciplinary actions, client complaints and civil litigation is low.
+ Compliance violations and risk situations are actively identified, investigated and resolved or raised in an appropriate and timely manner
The dealer's employees /agents receive high-quality, accurate and timely compliance direction, advice, support and service and employees /agents are educated on their compliance responsibilities and requirements.
You will lead head office Tier 2 compliance activities for assigned regional groups adhering to regulatory requirements (those established by securities regulations and Self-Regulatory Organizations (SRO) including CIRO as well as internal policies and procedures.
**Position Responsibilities:**
+ Independently conducts relevant research and arrives at conclusions and/or recommendations based on the exercise of good judgement on moderately sophisticated issues. Matters that are: i) of an advanced sophisticated nature in which further mentorship is needed or ii) fall outside of existing policies are raised to the Senior Compliance Officer for assistance. Critical matters are immediately advanced to the Manager Tier 2 Compliance.
+ Actively identifies violations of regulatory requirements, internal policies and procedures or other risk situation at an early stage. Inquiries and investigations in relation to such situation are conducted on time as well as applying appropriate corrective actions and/or risk mitigation activities.
+ Compliance review procedures are conducted in a high quality, risk-based manner and appropriate follow-up actions are taken.
+ Conducts head office compliance oversight (Tier II surveillance duties) by reviewing reports in accordance with applicable regulatory requirements and internal policies and procedures to detect violations and potential violations warranting further investigation.
+ Conducts specific purpose compliance reviews, in order to identify potential compliance gaps, either on an active basis or as prompted by events such as client complaints, regulatory investigations, etc.
+ Participate in special projects requiring specialist compliance input and expertise.
+ Assists in identifying gaps in the existing compliance program and participated in developing, maintaining and implementing changes to the firm's compliance policies and procedures.
+ Maintains a level of awareness of compliance related changes and developments in the securities industry through review of publications, participation in industry associations, employee development initiative, etc.
+ Complete other duties and project as assigned from time to time including, but not limited to, acting as back-up to colleagues.
**Required Qualifications:**
+ College Diploma or University Degree required.
+ Over 3 years of relevant investment proven experience, preferably with a CIRO and/or MFDA member firm, in a compliance role or other relevant functional area (e.g. trading, operations, sales)
+ Knowledge and understanding of the firm's compliance policies and procedures and the practical application of relevant provincial securities and SRO (CIRO, Exchanges) rules and regulations and other applicable regulatory requirements, such as AML/CTF and Privacy.
+ Deep understanding of the general characteristics, attribute and risk factors associate with various securities and investment strategies for assessing matter such as suitability and legitimacy of investment activities.
+ Deep understanding of the firm's business practices, organizational structure and general policies and procedures.
+ Proven understanding of laws governing matters such as powers of attorney, trust, estates, unclaimed property and similar as they relate to the operation of brokerage and mutual fund dealer accounts.
+ Strong written and verbal business communication skills.
+ Proficient knowledge of Microsoft applications (including Word, Excel and Power Point) and familiarity with the internet and related applications as tools.
+ Capable of simultaneously prioritizing multiple task and meeting strict deadlines.
+ Well-developed inter-personal skills to provide a high-level o of service and maintain working relationships with assigned groups and team members.
+ Able to recognize and handle confidential information.
+ Self-motivate, confident and capable of working both independently and in a team environment.
+ Outstanding planning, organizational and time management skills.
+ Preferred Qualifications:
+ Prior or ongoing completion of Canadian Securities Institute (CSI) securities courses: Canadian Securities Course, Conduct and Practices Handbook Course and the Investment Dealers Supervisors course is considered an asset
+ Bilingualism (French, English, both oral and written) is an asset as we support English and French-speaking clients across Canada.
**When you join our team:**
+ We'll empower you to learn and grow the career you want.
+ We'll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
+ As part of our global team, we'll support you in shaping the future you want to see.
#LI-Hybrid
**À propos de Manuvie et de John Hancock**
La Société Financière Manuvie est un chef de file mondial des services financiers qui aide les gens à prendre leurs décisions plus facilement et à vivre mieux. Pour en apprendre plus à notre sujet, rendez vous à l'adresse .
**Manuvie est un employeur qui souscrit au principe de l'égalité d'accès à l'emploi**
Chez Manulife/John Hancock nous valorisons notre diversité. Nous nous efforçons d'attirer, de perfectionner et de maintenir une main d'oeuvre qui est aussi diversifiée que nos clients, et de favoriser la création d'un milieu de travail inclusif qui met à profit la diversité de nos employés et les compétences de chacun. Nous nous engageons à assurer un recrutement, une fidélisation, une promotion et une rémunération équitables, et nous administrons toutes nos pratiques et tous nos programmes sans discrimination en raison de la race, de l'ascendance, du lieu d'origine, de la couleur, de l'origine ethnique, de la citoyenneté, de la religion ou des croyances ou des convictions religieuses, du genre (y compris grossesse et affection liée à une grossesse), de l'orientation sexuelle, des caractéristiques génétiques, du statut d'ancien combattant, de l'identité de genre, de l'expression de genre, de l'âge, de l'état matrimonial, de la situation de famille, d'une invalidité ou de tout autre motif protégé par la loi applicable.
Nous nous sommes donné comme priorité d'éliminer les obstacles à l'accès égalitaire à l'emploi. C'est pourquoi un représentant des Ressources humaines collaborera avec les candidats qui demandent accommodement raisonnable pendant le recrutement. Tous les renseignements communiqués pendant le processus de demande d'accommodement seront stockés et utilisés conformément aux lois et aux politiques applicables de Manuvie. Pour demander une mesure d'accommodement raisonnable dans le cadre du recrutement, écrivez à .
**Région de référence du salaire**
Toronto, Ontario
**Modalités de travail**
Hybride
**L'échelle salariale devrait se situer entre**
$71,925.00 CAD - $119,875.00 CAD
Si vous posez votre candidature à ce poste en dehors de la région principale, veuillez écrire à pour obtenir l'échelle salariale correspondant à votre région. Le salaire varie en fonction des conditions du marché local, de la géographie et de facteurs pertinents liés au poste telles les connaissances, les compétences, les qualifications, l'expérience et l'éducation ou la formation. Les employés ont également la possibilité de participer à des programmes de motivation et de toucher une rémunération incitative liée au rendement de l'entreprise et au rendement individuel.
Manuvie offre aux employés admissibles une vaste gamme d'avantages sociaux personnalisables, notamment une assurance soins médicaux, soins dentaires, santé mentale, soins de la vue, invalidité de courte et de longue durée, assurance vie et assurance DMA, assurance adoption, de maternité de substitution et de soins médicaux non urgents ainsi que des programmes d'aide aux employés et leur famille. Nous proposons également aux employés admissibles différents régimes d'épargne-retraite (y compris des régimes de rente et un programme international d'actionnariat assortie de cotisations patronales de contrepartie) ainsi que des ressources en matière d'éducation et de conseils financiers. Notre généreux programme de congés rémunérés au Canada comprend les jours fériés, les congés annuels, les congés personnels et les congés de maladie, et nous offrons toute la gamme des congés autorisés prévus par la loi. Si vous posez votre candidature à ce poste aux États-Unis, veuillez écrire à pour obtenir de plus amples renseignements sur les dispositions relatives aux congés rémunérés spécifiques aux États-Unis.

As a Compliance Officer (CO), your objective is to directly conduct and provide compliance monitoring, direction, advice and support for Manulife Wealth to provide reasonable assurance that:
+ The dealer and its employees/agents follow securities regulatory requirements and internal policies and procedures;
+ The risk or reputational damage, regulatory sanction and disciplinary actions, client complaints and civil litigation is low.
+ Compliance violations and risk situations are actively identified, investigated and resolved or raised in an appropriate and timely manner
The dealer's employees /agents receive high-quality, accurate and timely compliance direction, advice, support and service and employees /agents are educated on their compliance responsibilities and requirements.
You will lead head office Tier 2 compliance activities for assigned regional groups adhering to regulatory requirements (those established by securities regulations and Self-Regulatory Organizations (SRO) including CIRO as well as internal policies and procedures.
**Position Responsibilities:**
+ Independently conducts relevant research and arrives at conclusions and/or recommendations based on the exercise of good judgement on moderately sophisticated issues. Matters that are: i) of an advanced sophisticated nature in which further mentorship is needed or ii) fall outside of existing policies are raised to the Senior Compliance Officer for assistance. Critical matters are immediately advanced to the Manager Tier 2 Compliance.
+ Actively identifies violations of regulatory requirements, internal policies and procedures or other risk situation at an early stage. Inquiries and investigations in relation to such situation are conducted on time as well as applying appropriate corrective actions and/or risk mitigation activities.
+ Compliance review procedures are conducted in a high quality, risk-based manner and appropriate follow-up actions are taken.
+ Conducts head office compliance oversight (Tier II surveillance duties) by reviewing reports in accordance with applicable regulatory requirements and internal policies and procedures to detect violations and potential violations warranting further investigation.
+ Conducts specific purpose compliance reviews, in order to identify potential compliance gaps, either on an active basis or as prompted by events such as client complaints, regulatory investigations, etc.
+ Participate in special projects requiring specialist compliance input and expertise.
+ Assists in identifying gaps in the existing compliance program and participated in developing, maintaining and implementing changes to the firm's compliance policies and procedures.
+ Maintains a level of awareness of compliance related changes and developments in the securities industry through review of publications, participation in industry associations, employee development initiative, etc.
+ Complete other duties and project as assigned from time to time including, but not limited to, acting as back-up to colleagues.
**Required Qualifications:**
+ College Diploma or University Degree required.
+ Over 3 years of relevant investment proven experience, preferably with a CIRO and/or MFDA member firm, in a compliance role or other relevant functional area (e.g. trading, operations, sales)
+ Knowledge and understanding of the firm's compliance policies and procedures and the practical application of relevant provincial securities and SRO (CIRO, Exchanges) rules and regulations and other applicable regulatory requirements, such as AML/CTF and Privacy.
+ Deep understanding of the general characteristics, attribute and risk factors associate with various securities and investment strategies for assessing matter such as suitability and legitimacy of investment activities.
+ Deep understanding of the firm's business practices, organizational structure and general policies and procedures.
+ Proven understanding of laws governing matters such as powers of attorney, trust, estates, unclaimed property and similar as they relate to the operation of brokerage and mutual fund dealer accounts.
+ Strong written and verbal business communication skills.
+ Proficient knowledge of Microsoft applications (including Word, Excel and Power Point) and familiarity with the internet and related applications as tools.
+ Capable of simultaneously prioritizing multiple task and meeting strict deadlines.
+ Well-developed inter-personal skills to provide a high-level o of service and maintain working relationships with assigned groups and team members.
+ Able to recognize and handle confidential information.
+ Self-motivate, confident and capable of working both independently and in a team environment.
+ Outstanding planning, organizational and time management skills.
+ Preferred Qualifications:
+ Prior or ongoing completion of Canadian Securities Institute (CSI) securities courses: Canadian Securities Course, Conduct and Practices Handbook Course and the Investment Dealers Supervisors course is considered an asset
+ Bilingualism (French, English, both oral and written) is an asset as we support English and French-speaking clients across Canada.
**When you join our team:**
+ We'll empower you to learn and grow the career you want.
+ We'll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
+ As part of our global team, we'll support you in shaping the future you want to see.
#LI-Hybrid
**Acerca de Manulife y John Hancock**
Manulife Financial Corporation es un importante proveedor internacional de servicios financieros que ayuda a las personas a tomar decisiones de una manera más fácil y a vivir mejor. Para obtener más información acerca de nosotros, visite .
**Manulife es un empleador que ofrece igualdad de oportunidades**
En Manulife/John Hancock, valoramos nuestra diversidad. Nos esforzamos por atraer, formar y retener una fuerza laboral tan diversa como los clientes a los que prestamos servicios, y para fomentar un entorno laboral inclusivo en el que se aprovechen las fortalezas de las culturas y las personas. Estamos comprometidos con la equidad en las contrataciones, la retención de talento, el ascenso y la remuneración, y administramos todas nuestras prácticas y programas sin discriminación por motivos de raza, ascendencia, lugar de origen, color, origen étnico, ciudadanía, religión o creencias religiosas, credo, sexo (incluyendo el embarazo y las afecciones relacionadas con este), orientación sexual, características genéticas, condición de veterano, identidad de género, expresión de género, edad, estado civil, estatus familiar, discapacidad, o cualquier otro aspecto protegido por la ley vigente.
Nuestra prioridad es eliminar las barreras para garantizar la igualdad de acceso al empleo. Un representante de Recursos Humanos trabajará con los solicitantes que requieran una adaptación razonable durante el proceso de solicitud. Toda la información que se haya compartido durante el proceso de solicitud de adaptación se almacenará y utilizará de manera congruente con las leyes y las políticas de Manulife/John Hancock correspondientes. Para solicitar una adaptación razonable en el proceso de solicitud, envíenos un mensaje a .
**Referenced Salary Location**
Toronto, Ontario
**Modalidades de Trabajo**
Híbrido
**Salary range is expected to be between**
$71,925.00 CAD - $119,875.00 CAD
Si se está postulando para este puesto fuera de la ubicación principal, póngase en contacto con para conocer el rango salarial de su ubicación. El salario real variará según las condiciones locales del mercado, la geografía y los factores relacionados con el trabajo pertinentes, como conocimiento, habilidades, calificaciones, experiencia y educación/capacitación. Los empleados también tienen la oportunidad de participar en programas de incentivos y obtener una compensación de incentivos vinculada al desempeño comercial e individual.
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Job Description

Job Description

We’re expanding our Wealth Management team and searching for a passionate, driven and energetic candidate for the position of Compliance Officer .

Skyline Wealth Management, a division of the Skyline Group of Companies, is a premier wealth planning and investment firm that offers clients a best-in-class investor experience, and a comprehensive approach to unique alternative investment products and financial planning services. This full-time position will be located at our Head Office in Guelph, ON  and will report to the Acting Chief Compliance Officer.

What you will be doing:

• Apply policies and regulatory rules appropriately to respond to compliance related inquiries from the Wealth Management team.
• Assist in the creation and implementation of new and amended policies and procedures for compliance initiatives and controls, ensuring applicable securities laws and National Instruments are adhered to.
• Monitor compliance and individuals acting on its behalf, with applicable securities legislation. 
• Perform all trade reviews.
• Monitor KYC/KYP suitability and other rules by reviewing applications and trade activity.
• Maintain registration for the firm and its registrants.
• Assist with departmental and enterprise initiatives as required.

What we look for:

• Strong oral and written communication skills in English.
• Problem solving skills necessary to resolve routine and non-routine compliance issues.
• A positive attitude! You can handle any problem with optimism. 
• Minimum 2 years compliance and/or investment experience with an exempt market dealer.  
• Completed Canadian Securities Course, Exempt Market Proficiency Course or equivalent, or in progress of completion.

Why you want to work here:

• You get a thrill from staying organized and details are your “thing”.
• You believe in following the rules and mistakes never get by you.
• You get excited about providing superior customer service and from knowing that you positively impact people’s lives every day.
• Being that person who can see the problems before they happen (think the matrix) and use good judgment and innovation to solve it is your specialty.
• You want to work for a company that supports work-life balance and truly cares that you are happy.
• Working for a growing company that supports environmental stewardship and social responsibilities is a must for you. Learn more about our sustainability commitments here.

The Skyline Group of Companies is a fully integrated investment management organization: grounded in real estate, powered by people, and growing for the future. Every aspect of Skyline is managed with the utmost care and attention to detail, from consulting with investors to fostering a sense of community at each and every one of its properties.

We offer our employees competitive pay, benefits, RSP match program, paid volunteer day, on-going training, growth potential and so much more.  Our workplace culture empowers staff at all levels to become involved in supporting and building vibrant communities. 

Come be a part of Skyline – Building Careers and Communities!
 

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Job Description

Job Description

Description

At CI, we see a great place to work as one that is a safe place for everyone to have a voice, where people are empowered to take ownership over meaningful work, where there is an opportunity to grow through stretching themselves, where they can work on innovative products and projects, and where employees are supported and engaged in doing so.

We are currently seeking a Compliance Officer to join our Compliance team. In this role, the successful candidate is expected to assist in the regulatory Compliance program for the Investment Fund Manager and Exempt Market Dealer. In particular, 81-105 sales practices and 81-102 sales communication and marketing and communications.  Provide a range of compliance support services to sales, marketing, institutional business and back-office operations.

What You Will Do

• Coordinate directly with wide range of stakeholders across the organization to resolve issues, as required
• Apply policies and regulatory rules to respond to compliance related inquiries
• Assist in creation and documentation of new processes and procedure for new compliance initiatives and controls, ensuring applicable securities law and National Instrument rules are adhered to.
• Assist in the creation of new policies and guidelines to reflect new or changing regulatory/industry standards or corporate developments.
• Participate and lead special projects, as needed
• Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment
• Support in the review of all product and wholesaling marketing and sales communications materials, including (but not limited to) the below for adherence to applicable policies and regulations:
• Advisor and investor-facing materials
• Website content
• Product profile sheets
• Support in maintaining sales communication checklists for retail and institutional sales as they relate specifically to investment fund products/content
• Support in the review of retail sales practices activities relating to the adherence of regulatory requirements and internal policies and guidelines.
• Support in maintaining sales practices policy and guidelines as well as training contents and materials.

What You Will Bring
 

• Superior analytical skills, capable of advising across a range of compliance matters
• Post-secondary education plus Canadian Securities Course (CSC), the Conduct and Practices Handbook (CPH) or other industry related designations an asset.
• Thorough working knowledge of National Instruments 81-102, 81-105 and at least 3 years working experience in a mutual fund manager compliance department
• In depth knowledge of the financial industry including investment fund regulations and applicable National Instruments
• Strong communication skills, verbal and written
• Experience in Salesforce, Concur, Tableau software an asset
• Experience in providing training to a large group of Sales staff
• Superior and versatile analytical skills, capable of advising across a range of compliance matters
• Ability to multi-task and work effectively and efficiently in a fast-paced, frequently changing environment
• Proficient in understanding, identification, and assessment of internal controls for the purposes of assessing the effectiveness of their design

CI Financial is an independent company offering global wealth management and asset management advisory services through diverse financial services firms. Since 1965, we have consistently anticipated and responded to the changing needs of investors. We are driven by a commitment to provide individuals and institutions with the highest-quality investments and advice.

Our commitment to the highest levels of performance means that whatever their position, CI employees must be comfortable in a fast-paced environment that will stretch them to tap into their highest potential. Employees with a healthy dose of ambition, a desire to commit to a curious mindset for continuous learning, and a willingness to go the extra mile thrive at CI. 

WHAT WE OFFER

• Modern HQ location within walking distance from Union Station
• Training Reimbursement
• Paid Professional Designations
• Employee Share Purchase Program (ESPP)
• Corporate Discount Program
• Enhanced group benefits
• Parental Leave Top–up program
• Fitness membership discounts
• Paid Volunteer Days

We are focused on building a diverse and inclusive workforce. If you are excited about this role and are not confident you meet all the qualification requirements, we encourage you to apply to investigate the opportunity further.

Please submit your resume in confidence by clicking “Apply”. Only qualified candidates selected for an interview will be contacted. CI Financial Corp. and all of our affiliates (“CI”) are committed to fair and accessible employment practices and provide reasonable accommodations for persons with disabilities. If you require accommodations in order to apply for any job opportunities, require this posting in an additional format, or require accommodation at any stage of the recruitment process please contact us at , or call ext. 4747.