Compliance Senior Specialist
| Company | Manulife Financial |
|---|---|
| Location | Montreal, QC, Canada, Boston, MA, USA, Toronto, ON, Canada |
| Salary | $71925 – $119875 |
| Type | Full-Time |
| Degrees | |
| Experience Level | Senior |
Requirements
- Minimum 2-3 years of related financial services, audit, compliance, or legal experience
- Experience coding compliance rules within an order management system such as Bloomberg AIM, Charles River (CRD), BlackRock Aladdin and/or similar systems preferred
- Detail-oriented
- Ability to demonstrate a high degree of initiative and a strong commitment to meeting deadlines
- Able to prioritize and reprioritize work deliverables and projects for internal clients based on changing business needs
- Ability to work independently and as part of a team
- Ability to facilitate decision making across groups in the company
- Ability to analyze information, make appropriate recommendations
- Excellent organizational, prioritization and time management skills
- Knowledge of investment industry and international financial markets
- Strong verbal and written communication skills
- Strong project management skills with an ability to understand business processes and their risk implications, analyze complex situations, reach appropriate conclusions, and make value-added and practical recommendations
Responsibilities
- Review account documentation and collaborate with local trade monitoring teams, client relationship management, product, legal and front office to obtain guideline interpretative clarifications for restrictions and portfolio monitoring
- Develop, implement, and ensure adherence to required controls and monitoring best practices and standards to ensure consistency in the way business/process/products are developed and maintained, provide training as needed
- Provide ad hoc monitoring and regulatory advice to Trading, Operations, Compliance monitoring teams (BAU) to ensure awareness and understanding of relevant regulations
- Collaborate with front, middle, and back office to ensure effective business controls in place to prevent, detect and correct violations of regulatory and contractual requirements as it relates to portfolio monitoring
- Keeps abreast of regulatory developments and assess impact on business operations; support the development, implementation and maintenance of policies and procedures that enable the firm to remain in compliance with regulatory requirements
- Engage with internal teams and external vendors to communicate deficiencies; gather compliance requirements; and incorporate systemic enhancements and changes
- Contribute to design and implementation of new critical investment initiatives by identifying key compliance requirements, assessing gaps and risk exposures
- Assist management and other business unit partners in ad hoc compliance related projects as assigned
Preferred Qualifications
- BlackRock Aladdin experience
- Knowledge and monitoring experience of securities laws and regulations – such as Advisers Act, Investment Company Act, NI 81-102 and UCITS