Senior Investment Compliance Manager
Makati City, PH
3d ago

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.

Responsibilities :

Implement compliance procedures and policies in accordance with all regulatory requirements and internal guidelines for Manulife Asset Management.

Assist in liaison with local and overseas regulatory authorities and industry associations. Support licensing and continuous professional training.

Determine and set up compliance rules in the Bloomberg Trading System. Monitor investment portfolios according to regulatory requirements, product / investor requirements, market practices, and in-house guidelines.

Perform compliance monitoring tests. Aid in the compiling of necessary compliance and regulatory filing, reports and documents as assigned.

Plan and direct investigations and quality assurance reviews as required. Keeps abreast of regulatory developments, and assess impact on business operations.

Answer enquiries on compliance related issues. Make recommendations for improvement of compliance policies and policies.

Manage compliance related projects as assigned. Assist in review of marketing materials. Assist in handling of KYC / AML reviews and FATCA / CRS related matters.

Assist in monitoring of gifts and entertainments. Assist in review and advise on data privacy issues, including data residency, transfer of data outside of local country, and personal data protection.

Any other compliance matter or otherwise as directed from time to time.

Knowledge / Skills / Competencies :

  • Knowledge of investment industry and international financial markets.
  • Knowledge of regulatory requirements investment monitoring process.
  • Knowledge of securities laws, rules and regulations.
  • Analytical / Audit / Law / Compliance background; preferably with accounting / finance / legal designation.
  • At least 2 years of relevant experience with audit, financial intermediaries or regulator.
  • Strong English written and verbal communication skills.
  • Ability to demonstrate a high degree of initiative and a strong commitment to meeting deadlines.
  • Excellent organizational, prioritization and time management skills.
  • Ability to work under stress and meet tight deadlines
  • Position Dimensions (Organizational Impact) :

    Reports to the Regional Head of Compliance, and with matrix reporting to CEO of the company.

    If you are ready to unleash your potential, it’s time to start your career with Manulife / John Hancock.

    About Manulife

    Manulife Financial Corporation is a leading international financial services group that helps people make their decisions easier and lives better.

    We operate primarily as John Hancock in the United States and Manulife elsewhere. We provide financial advice, insurance, as well as wealth and asset management solutions for individuals, groups and institutions.

    At the end of 2018, we had more than 34,000 employees, over 82,000 agents, and thousands of distribution partners, serving almost 28 million customers.

    As of June 30, 2019, we had over $1.1 trillion (US$877 billion) in assets under management and administration, and in the previous 12 months we made $29.

    4 billion in payments to our customers. Our principal operations in Asia, Canada and the United States are where we have served customers for more than 100 years.

    With our global headquarters in Toronto, Canada, we trade as 'MFC' on the Toronto, New York, and the Philippine stock exchanges and under '945' in Hong Kong.

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