Senior Manager, Compliance Investigation

**About Manulife**

Manulife 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 the United States. We provide financial advice, insurance, and wealth and asset management solutions for individuals, groups, and institutions.

**The Opportunity**

The Senior Manager, Compliance Investigation will lead and manage the compliance investigation team, ensuring thorough and timely investigations into market conduct issues. This role is critical in maintaining the integrity of the company’s operations and upholding the highest standards of ethical conduct.

**Key Responsibilities**:

- Oversee, review and conduct misconduct investigations and other conduct relate matters;
- Provide advice and guidance to other investigators in the team to ensure that investigations are conducted in a timely, fair and comprehensive manner;
- Coordinate submissions to FIDReC where required;
- Oversee end-to-end process of misconduct investigations, including case load management, execution of disciplinary outcome and misconduct reporting;
- Facilitate the Disciplinary Committee meetings with appropriate and timely materials and recommendations
- Work with key stakeholders in Distribution and Service Assurance to ensure the Company is continually working towards fulfilling its regulatory obligations, achieving sound market conduct by the representatives, and implementing best practices of financial advice;
- Identify, analyze and monitor misconduct investigation data;
- Create training material and conduct branch visits to provide insights and common issues observed in complaints investigation;
- Track and implement new regulatory requirement that are relevant to misconduct investigation and ensure internal guidance on misconduct investigation is updated accordingly;
- Prepare governance and regulatory reports;
- Support on compliance investigation ad-hoc matters as required

**Required Qualifications**:

- Bachelor’s degree in Law, Business Administration, Finance, or a related field. Advanced degree preferred.
- Minimum of 10 years of experience in compliance, legal, or a related field.

**Skills and Competencies**:

- Strong leadership and team management skills.
- Excellent analytical, problem-solving, and decision-making abilities.
- Exceptional communication and interpersonal skills.
- High ethical standards and integrity.
- Ability to handle sensitive and confidential information with discretion.
- Proficient in compliance software and investigation tools.

**What motivates you?**
- You obsess about customers, listen, engage and act for their benefit.
- You think big, with curiosity to discover ways to use your agile approach and enable business outcomes.
- You thrive in teams and enjoy getting things done together.
- You take ownership and build solutions, focusing on what matters.
- You do what is right, work with integrity and speak up.
- You share your humanity, helping us build a diverse and inclusive work environment for everyone.

**Our commitment to you**
- Values-first culture
We lead with our Values every day and bring them to life together.
- Boundless opportunity
We create opportunities to learn and grow at every stage of your career.
- Continuous innovation
We invite you to help redefine the future of financial services.
- Delivering the promise of Diversity, Equity and Inclusion
We foster an inclusive workplace where everyone thrives.
- Championing Corporate Citizenship
We build a business that benefits all stakeholders and has a positive social and environmental impact.

**About Manulife and John Hancock**

**Manulife is an Equal Opportunity Employer**

**About Manulife and John Hancock**

**Manulife is an Equal Opportunity Employer**

**Working Arrangement**

Hybrid