Compensation Analyst for Surgery Partners' physician practices. Leading compensation modeling and reporting, ensuring compliance and data integrity in financial operations.
About the role
- Field Supervision Analyst for Manulife responsible for conducting Tier 1 supervision and ensuring compliance. Involves reviewing trades and addressing advisor inquiries within a hybrid work model.
Responsibilities
- Responsible for Tier 1 supervision, approval of daily, monthly, quarterly trade reports
- Review and approve new accounts and KYC updates
- Communicate with advisor teams regarding compliance inquiries
- Assist with investigations related to complaints and regulatory inquiries
- Identify and escalate any areas of non-compliance
- Maintain clear records of supervisory decisions
- Participate in team meetings and contribute ideas to streamline workflows
Requirements
- Registered as Supervisor and Registered Representative with CIRO
- 2-4+ years of CIRO dealer supervision or related compliance experience
- Completion of CSC, CPH, Investment Dealer Supervisors Courses
- Strong knowledge of the financial services industry
- Detail-oriented with solid organizational and prioritization skills
- Strong analytical judgment with experience handling complex escalations
- Bilingual English/French an asset
Benefits
- health, dental, mental health, vision insurance
- short- and long-term disability coverage
- life and AD&D insurance
- adoption/surrogacy benefits
- wellness programs
- employee/family assistance plans
- various retirement savings plans
- financial education and counseling resources
- generous paid time off program including holidays, vacation, personal, and sick days
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