Home
/
Comprehensive
/
Branch Examiner
Branch Examiner-May 2024
Ontario
May 25, 2026
About Branch Examiner

  We are a leading financial services provider committed to making decisions easier and lives better for our customers and colleagues around the world. From our environmental initiatives to our community investments, we lead with values throughout our business. To help us stand out, we help you step up, because when colleagues are healthy, respected and meaningfully challenged, we all thrive. Discover how you can grow your career, make impact and drive real change with our Winning Team today.

  Working Arrangement

  At Home

  Job Description

  The Opportunity

  The Branch Examiner will conduct branch reviews for the Manulife Securities Inc. (MSI) and Manulife Securities Investment Services Inc. (MSISI) branches throughout Canada. This includes pre-review preparation and onsite testing at the branch in accordance with the established Branch Review program to identify and report or advance actual and potential compliance findings in an appropriate and timely manner.

  The indivudal will attend at physical branch locations to conduct branch reviews including Advisor’s Interviews to ensure compliance with Investment Industry Regulatory Organization of Canada (IIROC) and Mutual Funds Dealers Association (MFDA) requirements as well as Manulife Securities Policies and Procedures.

  The incumbent will be writing reports in respect of findings and raising priority items and interact closely with the Advisors and their Assistants, Advisory Services Regional Compliance Officers, Senior Branch Managers and Branch Managers and other Manulife Head Office Staff. This position will report to the Director, Branch & Business Conduct Review and requires up to 60% travel across Canada.

  Key Accountabilities:

  Complete regulatory and risk-based Compliance Reviews with Manulife Securities Advisors and Branch Managers throughout Canada

  Complete branch review reports and working papers with high quality that conforms to regulatory and internal standards

  Conduct Advisor and Branch Manager Interviews

  Perform testing of critical Compliance functions including review of Branch Manager supervision, internal controls and Advisor client documents

  Participate in Advisory Services Compliance projects, as required

  Maintain a high level of awareness of compliance related changes and developments in the securities industry through review of publications, participation in industry associations, employee development initiative, etc.

  Job Proficiencies:

  Excellent knowledge and understanding of the Dealer’s compliance policies and procedures and the practical application of IIROC and MFDA rules and regulations and other applicable regulatory or legislative authorities, such as AML, PIPEDA, Privacy etc.

  Good understanding of the general characteristics, attribute and risk factors associated with various securities and investment strategies for assessing matters such as suitability of investment activities, KYC uniformity etc.

  Good knowledge of Manulife products, distribution channels and associated business processes

  Conceptual understanding of the corporate compliance methodology and program objectives

  Excellent written and verbal business communication skills

  Strong interpersonal, negotiation and influencing skills

  Proficient knowledge of Microsoft applications (including Word, Excel and Access)

  Validated understanding of Dataphile and Portfolio Aid an asset

  Capable of simultaneously prioritising multiple tasks and meeting stringent deadlines

  Willingness to travel throughout Canada, up to 60% of the time

  Well-developed inter-personal skills in order to provide a high level of service and maintain working relationships with assigned groups and team members

  Able to recognize and handle sensitive and confidential information

  Self-motivator, confident and capable of working both independently and in a team environment

  Outstanding planning, organizational and time management skills

  Results oriented and hard worker

  High level of integrity and respect for others

  Bilingual French/English, preferred

  Education:

  College Diploma or University Degree

  Minimum five years of experience with an IIROC member firm in a compliance or similar

  What can we offer?

  A competitive salary and benefits packages.

  A growth trajectory that extends upward and outward, encouraging pursuit of passions and learning new skills.

  A focus on growing career pathways with us!

  Flexible work policies and strong work-life balance.

  Professional development and leadership opportunities.

  Our commitment:

  Values-first cultureWe lead with our Values every day and bring them to life together.

  Boundless opportunity!We build opportunities to learn and grow at every career stage.

  Continuous innovationWe invite you to help redefine the future of financial services.

  Delivering the promise of Diversity, Equity and InclusionWe foster an inclusive environment where everyone thrives.

  Championing Corporate CitizenshipWe build a business that benefits all partners and has a positive social and environmental impact.

  #LI-Remote

  About Manulife and John Hancock

  Manulife Financial Corporation 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 Asia, Canada, and Europe, and primarily as John Hancock in the United States. We provide financial advice, insurance, and wealth and asset management solutions for individuals, groups and institutions. At the end of 2022, we had more than 40,000 employees, over 116,000 agents, and thousands of distribution partners, serving over 34 million customers. At the end of 2022, we had $1.3 trillion (US$1.0 trillion) in assets under management and administration, including total invested assets of $0.4 trillion (US $0.3 trillion), and segregated funds net assets of $0.3 trillion (US$0.3 trillion). We trade as ‘MFC’ on the Toronto, New York, and the Philippine stock exchanges, and under ‘945’ in Hong Kong.

  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 characteristics, veteran status, gender identity, gender expression, age, marital status, family status, disability, or any other ground protected by applicable law.

  It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will work with applicants who request a reasonable accommodation during the application process . All information shared during the accommodation request process will be stored and used in a manner that is consistent with applicable laws and Manulife/John Hancock policies . To request a reasonable accommodation in the application process, contact .

  Salary & Benefits

  The annual base salary for this role is listed below.

  Primary Location

  CAN, Ontario - Full Time Remote

  Salary range is expected to be between

  $68,250.00 CAD - $113,750.00 CAD

  If you are applying for this role outside of the primary location, please contact for the salary range for your location. The actual salary will vary depending on local market conditions, geography and relevant job-related factors such as knowledge, skills, qualifications, experience, and education/training. Employees also have the opportunity to participate in incentive programs and earn incentive compensation tied to business and individual performance.

  Manulife offers eligible employees a wide array of customizable benefits, including health, dental, mental health, vision, short- and long-term disability, life and AD&D insurance coverage, adoption/surrogacy and wellness benefits, and employee/family assistance plans. We also offer eligible employees various retirement savings plans (including pension and a global share ownership plan with employer matching contributions) and financial education and counseling resources. Our generous paid time off program in Canada includes holidays, vacation, personal, and sick days, and we offer the full range of statutory leaves of absence. If you are applying for this role in the U.S., please contact for more information about U.S.-specific paid time off provisions.

Comments
Welcome to zdrecruit comments! Please keep conversations courteous and on-topic. To fosterproductive and respectful conversations, you may see comments from our Community Managers.
Sign up to post
Sort by
Show More Comments
SIMILAR JOBS
Client Engagement & Billing Technician
Business Title: Client Engagement & Billing Technician Requisition Number: 109780 - 68 Function: Tax Services Area of Interest: State: NY City: New York Description: At KPMG, you can become an in
Business Development Manager- Clinical Lab Services
Job Description Job Description Job Title: Business Development Manager, Clinical Lab Services Reports To: Director, Sales Position Location: Remote USA How will you make an impact? Thermo Fisher Sci
Relationship Manager Middle Market Grand Rapids
Relationship Manager, Middle MarketThe Relationship Manager is responsible for new business development, portfolio management and underwriting to support the needs of the group. This role will focus
Advanced Client Trainer
Advanced Client Trainer Wolters Kluwer USA-IL-Remote With nearly two centuries of experience, Wolters Kluwer provides information and professional services for accounting, audit, business, compliance
Licensed Practical Nurse
Licensed Practical Nurse, UHS Binghamton General Hospital United Health Services is seeking a Licensed Practical Nurse to join our GI Services 02 department at UHS Binghamton General Hospital in Bing
Summer Pharmacy Intern
Job Description: Job Objectives Learn to provide the best patient experience through assisting the pharmacist and pharmacy team members in accordance with state and federal regulations. Responsible f
Licensed Practical Nurse LPN
Reference #: 7456Odle Management - A subsidiary of Eckerd Connects Learn more here: Reports to the Health and Wellness Director and is an hourly, non-exempt position. Supervised by a Registered Nurse
RN Clinical Manager - $10K SOB
Our Company Adoration Home Health and Hospice Overview $10K Sign-On Bonus RN Clinical Manager Nags Head, NC Full-Time The Clinical Manager is responsible for the quality of care provided for patients
Assembler
PDS Tech Commercial, Inc. is seeking an Assembler in Dallas, Texas. Job Title: Assembler Job Type: Full time; contract (12 months) Location: Dallas, TX 75137 Schedule: 1st or 2nd shift, 4x10 Pay Rate
Mechanical Engineer 7 - Geothermal
36664BR Requisition ID: 36664BR Business Unit: TSU Job Description: CDM Smith is an engineering and construction firm delivering legendary service, smart solutions for the environment and infrastruct
Copyright 2023-2026 - www.zdrecruit.com All Rights Reserved