Senior Compliance Analyst

Manulife • Toronto, ON

1d • CA$62,850 - CA$104,750 • Hybrid

About The Position

The Senior Compliance Analyst is responsible for ensuring adherence to personal trading policies and applicable regulations. This role supports post-trade surveillance reviews of employee personal trading activity and reinforces the firm’s Code of Ethics and personal trading controls by identifying actual or potential conflicts of interest, insider trading risks and potential policy violations.

Requirements

• A high degree of integrity and a passion for promoting ethical behavior.
• Comfort engaging with senior leaders and cross-functional partners.
• Curiosity and a mindset centered on continuous improvement.
• A mindset that embraces technology, data, and innovative approaches to compliance.
• Relevant experience in ethics, compliance, risk management, internal audit, or a related discipline.
• Knowledge of the financial services industry.
• Advanced analytical skills and sound judgment, with the ability to manage sensitive information and navigate complex cases effectively.
• Experience working with trade surveillance, personal trading controls, or related monitoring process.
• Ability to manage multiple priorities in a fast-paced environment with minimal supervision.
• Experience in excel, intermediate level and above.

Nice To Haves

• Experience with compliance monitoring systems (Bloomberg, StarCompliance or similar platforms)
• Experience with Power BI, Power Automate, SharePoint, or similar tools.

Responsibilities

• Provide day-to-day compliance support, address inquiries related to the Code of Ethics.
• Conduct and oversee compliance monitoring activities across assigned areas of responsibility.
• Assist in performing comprehensive second line of defense reviews in accordance with Compliance monitoring and testing program.
• Communicate findings and recommendation to Compliance leadership.
• Coordinate with internal stakeholders to obtain relevant information necessary for analysis.
• Maintain clear and well documented records of reviews and conclusions.
• Evaluate compliance processes to identify inefficiencies, gaps, and opportunities for automation or simplification.
• Support on-going enhancement of personal trading controls and monitoring processes.
• Support compliance related projects aimed at enhancing personal trading oversight and strengthening internal controls.
• Support implementation of system enhancements and automation initiatives to improve data analysis.
• Prepare materials for quarterly compliance committee meetings, including standard and ad hoc reports on relevant compliance matters.
• Participate in the development, documentation, and updating of Code of Ethics monitoring procedures.
• Assist in ad hoc projects or tasks as required with an opportunity to cross train and support other programs under Code of Ethics program.
• Ensure continuous improvement in compliance processes and controls to mitigate risks.

Benefits

• 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.
• various retirement savings plans (including pension and a global share ownership plan with employer matching contributions) and financial education and counseling resources.
• 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed