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Job Title :
Controller, Compliance
Job ID :
1802807
Category :
Legal & Compliance
Location :
Kuala Lumpur, Kuala Lumpur MY
Job Type :
Full Time
Posted On :
3-18-2018
Job Description :
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.

 

Be the Compliance Officer responsible for the compliance matters of fund management activities of the Company. The role is to ensure the ongoing success of the investment compliance process and procedures.

 

Responsibilities:

  • Manage and implement overall investment compliance monitoring process.
  • Responsible for the applicable compliance policies and procedures and compliance program.
  • Supervise the management of compliance module on Bloomberg system and review reports to ensure that the investment portfolios are managed in accordance with regulatory and mandate requirements, including investment restrictions.
  • Act as a liaison person with the regulators and other government bodies including handling of ad hoc surveys, enquiries, request for information, regulatory filings, and regulatory submissions etc. in a timely and accurate manner.
  • Review marketing presentations/materials and RFPs/RFIs.
  • Manage the employees’ personal trade approval process and the regular reporting requirements by the employees pursuant to the Code of Ethics for Personal Investing.
  • Conduct oversight and administer licensed persons’ and registered marketing representatives’ regulated activities within the Company.
  • Perform regular review of trading activities.
  • Conduct training/ education to all staff on compliance related matters.
  • Supervise, guide and assess subordinates to ensure quality and timely deliverables and that they meet their key performance indicators.
  • Participate in ad-hoc projects that may be assigned from time to time.

 

Qualifications

Requirements:

  • Legal or Finance qualification with 10 years working experience, legal training & experience in unit trust industry is an added advantage.
  • Proven leadership skills, along with strong process and project management capabilities and experience
  • Strong communication skills, including ability to translate complex technical issues into fundamental concepts
  • Highly effective influencing skills

 

 

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 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 2017, we had approximately 34,000 employees, 73,000 agents, and thousands of distribution partners, serving more than 26 million customers. As of December 31, 2017, we had over $1.04 trillion (US$829.4 billion) in assets under management and administration, and in the previous 12 months we made $26.7 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.

 

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. Follow Manulife on Twitter @ManulifeNews or visit manulife.com or johnhancock.com.

 

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.

 

 

About Manulife Investments

 

Manulife Investments, a division of Manulife Asset Management Limited, builds on 125 years of Manulife's wealth and investment management expertise in managing assets for Canadian investors. As one of Canada's leading integrated financial services providers, Manulife Investments offers a variety of products and services including segregated fund contracts, mutual funds, annuities and guaranteed interest contracts.


Category:
Legal & Compliance
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