Compliance Officer
Makati City, PH
6d 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.

Job Description

Duties and Responsibilities :

To perform the compliance and distribution compliance functions for Manulife companies, including its affiliates and subsidiaries, such as :

To design compliance systems including distribution compliance, monitor their effectiveness, recommend corrective actions, follow up and follow through to ensure implementation.

To conduct and monitor compliance training, both in terms of suitability and effectiveness, recommending remedial action where necessary.

To report on the state of compliance within the Company on a regular basis.

To create and maintain Compliance Manuals

To work with the Regional Compliance area to establish appropriate protocols to ensure effective monitoring, reporting and escalation of legal and compliance issues within the Company as well as through the Company’s Regional and Global Legal and Compliance Structures.

To understand and implement as appropriate the regulations issued by the Company and or relevant regulators to assure that Company is in compliance with such regulations.

To carry out investigations and recommend appropriate action as necessary to manage any compliance breach. To liaise with regulators on visits, audits or inspection.

To ensure compliance with corporate governance requirements.

To perform the general compliance functions, particularly :

  • To manage the Anti-Money Laundering / Anti-Terrorist Financing Program
  • Prepare the annual self-assessment and close identified findings Identify and perform EDD Prepare periodic reports for AML / ATF statistics Maintain database, files, records and registers Manage the QA Program
  • To manage the Anti-Corruption and Bribery and Gift Programs
  • To manage the Anti-Fraud Program
  • To manage the Code of Business Conduct and Ethics (COBE) Program
  • To manage the Compliance Risk Management Program and Reporting
  • To manage the Privacy Program
  • Maintain and update relevant regulations in CRMP / Archer.
  • Train, work with and monitor the relevant business units to ensure compliance with all relevant regulations.
  • Conduct periodic compliance reporting.
  • Identify, assess, and advice the business units on appropriate controls to manage compliance breaches.
  • Prepare the annual self-assessment and close identified findings
  • To manage the FATCA Program To manage the Product Review, Development and Product Compliance Program

  • To check all product filings, including marketing and related materials to ensure compliance with all relevant regulations and industry guidelines.
  • To manage the Risk Management Program To manage the Record Management Program
  • Prepare the annual self-assessment and close identified findings
  • Conduct training, assure business units have established resources and procedures for the management and retention of records, and track legal regulatory changes for retention time periods.
  • To manage the Third Party Due Diligence Program
  • Perform any other task or functions that may be delegated or assigned from time to time.

    Qualifications :

  • Candidates must possess at least a Bachelor's / College Degree. Bachelor of Laws Degree is an advantage but not required.
  • At least 2 years’ experience within the Life Insurance or Financial Services industry is highly preferred. Candidates with background on risk and audit compliance are encouraged to apply.
  • Must be proficient in using Microsoft Office Tools (Word, Excel, and Power Point)
  • Must be a good communicator (both spoken and written)
  • Must be proficient in doing reports and have high analytics skills
  • Demonstrated project management skills
  • Highly developed presentation, and facilitation skills
  • Apply
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