Compliance Officer conducting onsite and remote branch examinations at Aviso Wealth. Join our dynamic team improving the financial well - being of Canadians through compliance oversight.
About the role
- Director leading Global Compliance Testing for Manulife's regulatory control function in financial services. Overseeing compliance testing programs aligned with SEC regulations and fostering a culture of compliance.
Responsibilities
- Lead and manage an effective team of highly skilled compliance professionals
- Design and implement risk-based compliance test plans for RIAs and RICs, focusing on Private Markets activities
- Ensure compliance programs align with SEC regulations, particularly 206(4)-7 and 38a-1
- Prepare detailed reports on compliance testing results and present findings to senior management
- Collaborate with internal and external stakeholders, including Segment and Entity Chief Compliance Officers, portfolio managers, legal, operations, internal and external auditors, and Global Compliance
- Foster a culture of compliance and ethical behavior across the organization
Requirements
- 10 years of experience in financial services
- 5 years in compliance testing, related compliance function, audit services, or risk management
- Experience at an institutional asset manager is strongly preferred
- Exceptional leadership and communication skills
- Experience in managing and developing high-performing teams
- Bachelor’s degree in Finance, Law, Accounting, Economics, Business Administration, or related field; advanced degree or relevant certifications (e.g., JD, CPA, CFA, CIA, CFE, IACCP) are a plus
- Understanding of global regulatory requirements, deep understanding of SEC regulations 206(4)-7 and 38a-1
- Familiarity with alternative investments: private equity, private credit, infrastructures, timber and agriculture
Benefits
- Health insurance
- Dental insurance
- Mental health support
- Vision insurance
- Short- and long-term disability insurance
- Life and AD&D insurance coverage
- Adoption/surrogacy benefits
- Wellness benefits
- Employee/family assistance plans
- Retirement savings plans (including pension/401(k) savings plans)
- Global share ownership plan with employer matching contributions
- Financial education and counseling resources
- Up to 11 paid holidays
- 3 personal days
- 150 hours of vacation
- 40 hours of sick time
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
Group Regulatory Policy Manager overseeing regulatory policy strategy and advocacy at Lloyds Banking Group. Collaborating across teams to enhance regulatory insights and communications.
Compliance Assistant Manager supporting regulatory and business change activities at Western Alliance Bank. This role involves oversight, guidance, and collaboration across multiple business lines.
Compliance Specialist in research administration at WashU. Developing knowledge of programs and ensuring compliance with policies and regulations.
Global Regulatory Lead managing regulatory strategies and compliance for new pharmaceutical products. Collaborating with global teams and authorities throughout the product lifecycle.
Manager of Software Audit overseeing software license compliance and SAM capabilities at Gap Inc. Collaborating cross - functionally to analyze software usage and enforce adherence to licensing requirements.
Security Worker responsible for maintaining security at Kauffman Stadium. Conducting patrols, inspections, and collaborating with local authorities for safety management.
Director of US Regulatory Affairs leading end - to - end labeling processes in a biopharmaceutical company. Collaborating with cross - functional teams ensuring compliance in labeling development and management.
Compliance Officer providing proactive regulatory compliance and risk advisory for Canadian Reinsurance businesses. Supporting local teams and managing compliance frameworks for Swiss Re Canada.
Associate Regulatory Reporting role at coni + partner consulting for an international bank, focusing on IFRS and regulatory reporting tasks. Collaboration on worldwide regulatory compliance and reporting processes.