Compliance Analyst

The Compliance Analyst works to ensure the team is aligned with all legal and regulatory requirements, supporting the team on various projects and initiatives.

Position Responsibilities:

• Conduct pre-trade and end of day batch investment compliance monitoring activities for an assigned group of client accounts.  Act as back-up analyst for other designated accounts as needed.

• Investigate and resolve all pre-trade and end of day batch alerts for assigned accounts, with timely analysis and appropriate advancement.

• Prepare weekly, monthly and quarterly compliance reports and certifications for assigned accounts – both internal and client facing.

• Perform and review various data management activities critical to the effective functioning of the compliance monitoring system.

• Assist in analysis of derivative and sophisticated security positions.

• Assist in completing information requests for clients, internal and external audit, management committees, and other functions.

• Contribute to the construction of internal procedures and controls, draft desk-top procedures.

• Perform periodic and forensic testing (for example, allocation reviews)

• Participate in new account onboarding and ongoing updates related to client accounts:

  • Perform detailed analysis of assigned client account offering documents (i.e., Investment Management Agreements, IPS, Prospectus/SAI, etc), and work with internal partners (Product, Relationship Management, Trading) to acquire clarification where needed.

  • Provide recommendations for coding client guidelines into the Compliance System (Bloomberg).

  • Conduct reviews of new and existing rules, both systemic and manual.

  • Assist in the development of portfolio compliance surveillance for guideline monitoring outside of the automated compliance system.

Required Qualifications:

• 0-3 years of experience as a Compliance Analyst, Fund Accountant, Fund Administrator, Risk Analyst or Security Operations Analyst

• Bachelor’s Degree in Accounting, Economics, Finance, Law, Mathematics or equivalent work experience

• Excellent analytical and research skills

• Ability to work in a time sensitive, team-oriented environment

• Accuracy and high attention to detail

• Strong written and oral communication skills

• Good organizational skills

• Understanding of financial instruments data across all asset classes

• Proven understanding of Microsoft Office Suite, Excel, Word and Access

Preferred Qualifications:

• Working experience with automated daily pre-trade/end of day compliance monitoring systems (i.e., Bloomberg, Charles River, Sentinel/Latent Zero, etc.) is an asset

• Knowledge of the investment adviser and/or mutual fund industry (i.e., compliance monitoring, fund accounting/administration, risk management, security operations, etc.)

• Prior experience in Investment Compliance Monitoring (especially pre-trade monitoring)

When you join our team:

• We’ll empower you to learn and grow the career you want. 

• We’ll recognize and support you in a flexible environment where well-being and inclusion are more than just words. 

• As part of our global team, we’ll support you in shaping the future you want to see.

#LI-Hybrid 

#LI-JH 

About Manulife and John Hancock

Manulife Financial Corporation is a leading international financial services provider, helping people make their decisions easier and lives better. To learn more about us, visit https://www.manulife.com/en/about/our-story.html.

Manulife is an Equal Opportunity Employer

At Manulife/John Hancock, we embrace our diversity. 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, advancement and compensation, and we administer all of our practices and programs without discrimination on the basis of race, ancestry, place of origin, colour, ethnic origin, citizenship, religion or religious beliefs, creed, sex (including pregnancy and pregnancy-related conditions), sexual orientation, genetic