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Senior Compliance Branch Manager

Manulife Financial Corporation

This is a Contract position in Timmins, ON posted July 9, 2021.

Are you looking for unlimited opportunities to develop and succeed?

With work that challenges and makes a difference, within a flexible and supportive environment, we can help our customers achieve their dreams and aspirations.

Job Description The Senior Compliance Branch Manager is a compliance management position within Manulife Securities.

The Senior Compliance Branch Manager is responsible for providing Daily Tier 1 supervision of advisors registered with MFDA and IIROC.

This position reports directly to the Regional Compliance Officer for their region and is responsible for providing both compliance and SRO rule interpretive advice on a routine basis to the advisors of Manulife Securities.

This position will be responsible for both IIROC and MFDA supervision.

Accountabilities: Registered as a Supervisor and Registered Representative with IIROC as well as a Branch Manager with the MFDA Responsible for Tier 1 supervision Assist with investigations related to complaints and regulatory inquiries Perform branch audits/examinations under Manulife Securities audit program Identify and escalate any areas of non-compliance Review and approve new accounts Build on the strength of the compliance team by actively participating in team meetings, contributing toward team goals and participating on projects Any other task assigned by the Regional Compliance Officer Qualifications and Skills: Professional background in the financial services industry preferably with an IIROC or MFDA dealer (minimum of 3-5 years) Completion of the CSC, CPH and Branch Managers courses Must qualify to be registered with both IIROC and MFDA Organizational and prioritization skills to be able to work in a multitasking environment Strong communication, interpersonal, negotiations and influence skills Highly developed conflict resolution skills Comfortable making presentations to groups Bilingual, English and French, spoken and written is an asset Other Considerations: Travel is required from time to time If you are ready to unleash your potential, it’s time to start your career with Manulife/John Hancock.

About Manulife 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 Canada, Asia, 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 2020, we had more than 37,000 employees, over 118,000 agents, and thousands of distribution partners, serving over 30 million customers.

As of December 31, 2020, we had $1.3 trillion (US$1.0 trillion) in assets under management and administration, and in the previous 12 months we made $31.6 billion in payments to our customers.

Our principal operations are in Asia, Canada and the United States where we have served customers for more than 155 years.

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.

We strive to attract, develop and retain a 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 and advancement and we administer all of our practices and programs based on qualification and performance and without discrimination on any protected ground.

It is our priority to remove barriers to provide equal access to employment.

A Human Resources representative will consult with applicants contacted to participate at any stage of the recruitment process who request any accommodation.

Information received regarding the accommodation needs of applicants will be addressed confidentially.