Compliance Manager overseeing compliance controls and advisory for Kepler Cheuvreux in Paris. Responsible for managing non - compliance risks and guiding junior staff while utilizing automation tools.
About the role
- Director Compliance role at Manulife managing the Complaints & Regulatory Investigations team. Overseeing investigations and ensuring compliance with regulatory standards.
Responsibilities
- Manage the Complaints & Regulatory Investigations team
- Handle client complaints and regulatory investigations
- Leading investigations by oneself or with the team
- Prepare and deliver analyses and reports
- Recommend appropriate settlement offers and sanctions
- Maintain shares and investigations databases
- Liaise with other departments, business divisions, and external organizations
Requirements
- Minimum five years industry experience with three years of direct experience responding to client complaints, conducting internal investigations and/or responding to regulatory inquiries and investigations
- 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
- Proficient in Microsoft Suite: SharePoint, Excel, Word, PowerPoint
- Bilingual English and French language, verbal, and written skills preferred
- Successful completion of the Canadian Securities Course and Conduct & Practices Handbook preferred
Benefits
- Health, dental, mental health, vision, short- and long-term disability, life and AD&D insurance coverage
- Adoption/surrogacy and wellness benefits
- Employee/family assistance plans
- Various retirement savings plans including pension and 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
- Full range of statutory leaves of absence
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