AML/KYC Compliance Specialist

Overview

This is a pivotal role within our updated supervision structure, dedicated primarily to supporting the supervision of financial advisors at Manulife Wealth. This position focuses on essential non-licensed tasks that help maintain regulatory compliance and support the Tier 1 Supervision Team. Reporting directly to the National Director Field Supervision, the Supervision Associate is instrumental in ensuring that advisors adhere to regulatory requirements, thereby protecting the interests of both the firm and its clients.

In this role, you will be responsible for executing a variety of tasks that facilitate the supervision process. Your duties will include processing updates to client information, managing approvals for various account-related activities, analyzing managed account data for quarterly meetings and supporting supervision control processes. Additionally, you will assist in tracking high-level audit responses and preparing for branch visits, thereby contributing to a comprehensive compliance framework that supports the firm’s regulatory commitments.

Your role requires strong organizational skills and the ability to collaborate effectively with various departments. By maintaining detailed records and supporting operational initiatives, you will enhance the efficiency and effectiveness of our compliance operations, ensuring a balance between excellent service and rigorous adherence to supervision requirements. This role works closely with licensed Supervision staff that may need to be a secondary approver of your work.

Advisor Supervision & Branch Reviews

• Outside activity review for Supervision Manager approvals
• Shared premise review sent for secondary approval by Supervision Manager
• Relocation template approvals
• Associate advisor delegation letters
• Collect, track and report on audit response and article collections for audits
• Collect pre-work and prepare reporting for Advisor Supervision Manager Branch Visits
• Collection and analysis of managed account data

Account /Trade Reviews

• Multiple non-material account reviews, including:
  • Update to non-material client updates
  • Name and address updates, including hold-mail requests
  • Foreign wires
  • Non-qualified security
  • Donations
  • Advisor code changes
  • Manual account pre-reviews
  • Restriction requests

• Banking and systematic event approvals
• Transfer approvals
• POS failure inquiries

Field Supervision Controls

• Provide reporting on effectiveness and efficiency of account and trade supervision
• Manage restriction control process for outdated KYC, foreign accounts, IA code changes etc
• Execute release testing

Additional Accountabilities

• Management of the field supervision inbox
  • Submission of sanction fines to commission
  • Reimbursement review and submission to commission

Preliminary AML flag analysis

• Branch Visit data collection to support this critical function

Hard and soft skills

• Draft job aids and policy/process documents, including Wealth Guide articles
• Updating and tracking:
  • Compliance courses
  • AML training
  • Proofpoint completions and remediation actions
• Other responsibilities as advisors join or depart the firm
• Other responsibilities required to support field supervision

• Professional background in the financial services industry
• Microsoft tools such as Power BI, SharePoint and Excel
• Organizational and prioritization skills to be able to work in a multitasking environment
• An ability to engage constructively and respectfully with individuals at all levels of the organization, and an ability to achieve high-quality outcomes
• Highly detail-oriented
• Can manage the balance between servicing and supporting advisors while ensuring we follow supervision requirements
• Strong analytical and problem-solving skills and sound professional judgment
• Ability to manage ambiguity

• 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.

宏利金融公司是一家業界領先的國際金融服務商，致力於幫助人們實現「輕鬆投資理財，樂享豐盛人生」。若要進一步了解我們，請瀏覽 Website:

在宏利／恒康，我們擁抱多元。我們致力於吸引、培養及挽留和所服務客戶同樣多元的員工，並從而營造包容的工作環境，接納文化和個體差異。我們矢志維持公平的招聘、挽留、晉升及薪酬制度，我們管理的所有實踐及項目不會因種族、血統、原籍地、膚色、族裔、國籍、宗教或宗教信仰、信仰、性別（包括懷孕及其相關情況）、性取向、遺傳特徵、退伍軍人身份、性別認同、性別表達、年齡、婚姻狀況、家庭狀況、殘疾或受適用法律保護的任何其他因素而區別對待。

我們的首要任務是消除障礙，為員工提供平等就業機會。人力資源部代表將盡力為應徵過程中提出要求的申請人提供合理協助。申請人要求提供協助所分享的信息將會按照適用法律及宏利／恒康政策儲存及使用。應徵過程中如需協助，請聯絡 。

Working Arrangement

混合式