Manager, Distribution Compliance, HK Legal and Compliance
Location: HK-HongKong-HKHO-22/F., Tower A, Manulife Financial Centre, 223-231 Wai Yip Street, Kwun Tong, Kowloon
- Advise and implement IIA related compliance changes.
- Investigate into regulatory misconduct of intermediary. Advise on the relevant legal/ regulatory breach and the appropriate disciplinary actions. Prepare investigation findings and reports. Recommend follow up action to ensure future compliance, if need be.
- Draft and review correspondence to regulators on conduct related matters of intermediaries.
- Handle and investigate fraud related issues and cases. Conduct compliance monitoring as required.
- Assist in various compliance reporting.
- Review and drafting of compliance communication and training material to agents. Conduct IIA related training as necessary.
- Assist in ad-hoc compliance related projects as required.
- Manage misconduct risks by providing solid and practical compliance advice
- Minimum 5 years of working experience, working in house legal and/or compliance field in insurance, pension industry or financial services sector
- Solid experience in handling intermediary misconduct investigation and regulatory proceedings e.g. HKFI, OCI, MPFA, SFC or HKMA
- Sound compliance knowledge of insurance or pension industry
- More experienced candidate will be considered a more senior role.
- Legal qualification is an advantage
- Excellent analytical skills and logical thinking
- Excellent interpersonal skills to communicate with business units, distribution partners, and regulators
- Able to work independently and meet tight deadlines
- Good communication skills in both written and spoken English and Chinese
- A willing team player
Manulife is a leading Canada-based financial services group with principal operations in Asia, Canada and the United States. Clients look to Manulife for strong, reliable, trustworthy and forward-thinking solutions for their most significant financial decisions. Our international network of employees, agents and distribution partners offers financial protection and wealth management products and services to millions of clients. We also provide asset management services to institutional customers. Funds under management by Manulife and its subsidiaries were approximately C$ 888 billion (US$663 billion) as at September 30, 2015. Our group of companies operates as Manulife in Canada and Asia and primarily as John Hancock in the United States. Manulife Financial Corporation trades as 'MFC' on the TSX, NYSE and PSE, and under '945' on the SEHK. Manulife can be found on the Internet at manulife.com.
- Certified Internal Auditor
- Asset Allocation
- Fund Management
- Wealth Management