Key skills
CommunicationDecision MakingProblem Solving
About this role
Role Overview
- Manage the Complaints & Regulatory Investigations team
- Ensure regulatory and legislative requirements relating to client complaint handling are met
- Assess compliance, regulatory, legal, and reputational risk
- Lead investigations by themselves or with a team
- Prepare and deliver reports, analyses, and recommendations for resolution
- Liaise with other departments and business divisions within Manulife affiliates
Requirements
- Management experience
- Minimum five years industry experience
- Three years of direct experience responding to client complaints, conducting internal investigations, or responding to regulatory inquiries
- CIRO dealer experience required
- Superior knowledge and understanding of regulatory, legal, and other issues facing the securities industry
- Able to operate independently and meet deadlines with limited direct supervision
- Superior customer service skills
- Experience conducting interviews and handling challenging discussions with clients, advisors, and regulators
- Excellent analytical, research/investigative, organization, problem solving, decision making, planning, conflict management skills
- Above average written communication skills
- Proficiency in Microsoft Suite: SharePoint, Excel, Word, PowerPoint
Benefits
- health, dental, mental health, vision insurance
- short
- and long-term disability coverage
- life and AD&D insurance
- adoption/surrogacy and wellness benefits
- employee/family assistance plans
- retirement savings plans (including pension)
- global share ownership plan with employer matching contributions
- financial education and counseling resources
- generous paid time off program including holidays, vacation, personal, and sick days for Canada
- full range of statutory leaves of absence