Compliance Analyst
The Manufacturers Life Insurance Company
Quezon City, PH
8d ago

Job Description :

Are you looking for unlimited opportunities to develop and succeed? With work that challenges and makes a difference, within a flexible and supportive environment, we can help our customers achieve their dreams and aspirations.

General Accountability :

This position is in the Investment Division’s Ethics Center of Expertise and is responsible for the Code of Ethics, Email Surveillance and Information Barrier Programs.

The position supports the Employee Trade Monitoring program, Gifts and Entertainment, Conflicts of Interest, Ethics Hotline, Email Surveillance, Outside Business Affiliations and related systems and platforms.

Responsibilities include :

Information Barrier :

  • Assist in the identification, review, research and resolution of potential cases of policy violations and issues related to the Information Barrier
  • Conduct Code of Ethics training with new hires and existing staff that includes a comprehensive review of the Information Barrier program.
  • Conduct periodic, transactional and forensic testing in support of the Investment Division Code of Ethics and Information Barrier Program
  • Conduct Wall Officer Duties for the Business Unit
  • Conduct adhoc electronic communication reviews (including but not limited to Outlook, Skype, MF Connect, Bloomberg Notes, Bloomberg IB and Bloomberg Chat)
  • Personal Trading :

  • Perform process to designate new employees as Access Persons (APs) and provide training.
  • Monitor employee trading activities and test trades for compliance with Manulife’s personal trading policies.
  • Perform maintenance on employee brokerage accounts reported in PTCC.
  • Review daily trade exception reports of employee violation of the policies.
  • Prepare quarterly personal trading reconciliations for selected employees.
  • Follow up with the employees as well as their managers on violations of the policies.
  • Prepare written violation notices to employees as needed.
  • Arrange authorization letters to brokerage firms.
  • Contribute to the development and implementation of new / updated personal trading policies.
  • Create and maintain procedures for Personal Trading Compliance processes.
  • Review and Approve Managed / Discretionary Accounts for employees
  • Be the primary liaison with associates located in Manila
  • Assist in the roll-out of the Code of Ethics to other Asia countries
  • Provide regional oversight of CoE matters and be the point person for related queries.
  • Outside Affiliation’s :

  • Assist the Director of Code of Ethics Center of Expertise with the management of the Outside Affiliation Program administration and due diligence process.
  • Field questions from the employees including other offices in the region to clarify issues related to the outside affiliation policy and questions relating to the personal trading system (PTCC).
  • Assist employees with the disclosure for Outside Business Activity.
  • Gifts and Entertainment :

  • Assist the Director with the management of the Gifts and Entertainment Program administration and oversight.
  • Monitor APs gift and entertainment reporting and test for compliance with Manulife’s gift and entertainment policy.
  • Assist employees with the disclosure for Gifts and Entertainment.
  • Train and provide guidance to employees on acceptable Gifts and Entertainment practices
  • Other Compliance Responsibilities :

  • Assist in the preparation of materials for quarterly compliance committee meetings including standard and ad hoc reports on relevant compliance and other related matters
  • Assist the Manager with the implementation of enhancements to the software system
  • Liaise with Legal and senior management team to resolve APs’ policy related problems.
  • Participate in the development, documenting and updating of the Code of Ethics monitoring desktop procedures.
  • Knowledge / Skills / Competencies / Education :

  • A minimum of a Bachelor Degree (in banking and finance) is required
  • The candidate should be self-confident, energetic, have an inquisitive mind, and be controls conscious
  • Strong organizational skills, an ability to manage assignments with competing priorities, excellent communication skills, and the ability to work both independently and as a member of a team are critical
  • Strong written and verbal communication skills in both English and Chinese (Chinese : preferable but not required)
  • Excellent project management, organizational and analytical skills
  • Strong written and verbal communication skills in both English and Chinese (Chinese : preferable but not required)
  • Strong systems application and software skills, including Microsoft Access and Excel.
  • Demonstrated ability to independently manage a diverse and demanding workload; effective decision-making and prioritization of workflow skills.
  • Self-motivated and able to work within tight deadlines
  • Strong negotiation skills
  • Conscientious about quality of work
  • Ability to communicate with all levels of management including the Executive Management Team
  • Problems / Challenges :

    1. Balancing current and future issues / needs in developing solutions to complex business issues

    2. Providing timely and high-impact support to a cross-border department

    3. Keeping numerous stakeholders involved in decision points and informed of status updates

    4. Working with colleagues in different time zones

    5. Staying abreast of constantly changing regulatory environment.

    Position Dimensions (Organizational Impact) :

  • Investments, Risk, Compliance, Legal
  • This Position Description is intended to describe the general nature and level of the work being performed by employees in this job.

    It is not intended to be a complete list of all responsibilities, duties and skills required for this job classification.

    NOTE : Operations is on rotating shift (NIGHT and DAY)

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