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Job Description General Accountability:
The Hong Kong based position is primarily accountable for Investment Division Public/Private Third-Party Asset Management, Compliance Assessment and Testing Program, conducting ongoing, risk-based compliance assessment reviews designed with an emphasis on key regulatory focus areas and compliance themes, including, but not limited to, portfolio management activities, trading practices, accuracy of disclosures, code of ethics, distribution, governance, privacy, investment guideline monitoring, derivatives usage, surveillance and testing, policies and procedures development; SEC, OSFI, FCA and other regulatory filings, correspondence, electronic communications review, records maintenance, and preparing management reports/metrics. Additionally, the position will assist with regulatory and internal audit examinations, investigative reviews and other miscellaneous compliance-related tasks.
The Investment Division's Compliance organization offers employees a unique opportunity to work in a fast-paced, collaborative and meritocratic working environment. The organization's unique entrepreneurial culture encourages all employees to assume significant levels of responsibility.
1) Develop Harmonized Policies, Procedures and Testing Protocols to reinforce Global Standards:
Collaborate with MAM Regional Offices to identify and remediate compliance exceptions and guideline breaches
Review Bloomberg and Portia exception reports and investigate potential issues.
Prepare and deliver Committee and Board materials and presentations.
Perform forensic, periodic and transactional testing for investment activity, including derivatives.
2) Risk & Testing:
Perform compliance assessments that are designed to identify and assess regulatory, compliance and business risks to which the company is exposed, including those related to portfolio management, trading, personal trading, and supervisory structure and oversight
Develop test scripts for implementation within the local investment compliance monitoring teams
Conduct periodic, transactional and forensic testing in support of the Investment Division legal entity adviser compliance programs
Execute OSFI E-13/E-21 Annual Test Plan
Assist in the preparation of quarterly compliance and risk trending reports for Senior Management and Oversight Committees
Participate in and manage cross-functional Risk Management Working Group Meetings
Draft summaries of findings identified through Assessments, Testing and Incident Management
3) Other Compliance Responsibilities:
Conduct due diligence for sub-advisers
Foster and maintain effective working relationships with Business Functional Area and Compliance Leads, Operational Risk, Internal Audit and Global Compliance Office
Participate in the identification, implementation and oversight of strategic projects and initiatives
Assist in the preparation of materials for quarterly compliance committee meetings, including standard and ad hoc reports on relevant compliance and other related matters
4) Prepare training materials and Conduct related presentations
Bachelor degree in financial or business-related field, or equivalent
Advanced degree and/or professional certification such as CIA, CPA, CFA a plus
A minimum of 7 + years work experience in the financial services industry, compliance, or a related area are required
The candidate should be self-confident, energetic, have an inquisitive mind, and be controls conscious
Strong interpersonal and 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
Attention to detail and computer literacy (knowledge of MS Word, Excel, PowerPoint, Visio, SharePoint and similar tools) and familiarity with Bloomberg
Ability to maintain confidentiality
Strong Knowledge of Global Regulatory Environment as it relates to Asset Management
Familiarity with compliance/trading systems (e.g. Bloomberg CMGR, PTCC), research systems and/or data management systems (e.g. Access, Business Objects) a plus.
Prior experience in compliance or risk unit working on personal trading, investment guideline compliance monitoring, securities law, global asset management
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 achieve their dreams and aspirations by putting customers' needs first and providing the right advice and solutions. We operate 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 2016, we had approximately 35,000 employees, 70,000 agents, and thousands of distribution partners, serving more than 22 million customers. At the end of 2016, we had $977 billion (US$728 billion) in assets under management and administration, and in the previous 12 months we made almost $26 billion in payments to our customers.
Our principal operations are in Asia, Canada and the United States 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.
Manulife is committed to supporting a culture of diversity and accessibility across the organization. It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will consult with applicants contacted to participate at any stage of the recruitment process who request an accommodation. Information received regarding the accommodation needs of applicants will be addressed confidentially.
Internal Number: 4973464
About Manulife Hong Kong
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