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Job Title :
Executive, Distribution Compliance
Job ID :
1802516
Category :
Legal & Compliance
Location :
SGP, Singapore SG
Job Type :
Full Time
Posted On :
3-20-2018
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.

Reporting to the team lead of Distribution Compliance, incumbent is responsible for the audit of all Balanced Scorecard amd cases review of the recommendations made by Manulife representatives.

Responsibilities:
  • The incumbent is responsible for the audit of all Balanced Scorecard cases assigned to him/her on monthly basis. 
  • The incumbent is responsible for the review of the recommendations made by Manulife representatives and ensure that the recommendations made by the representatives have a reasonable basis. 
  • The incumbent is to ensure that the Plan RightTM documentation and basis of recommendations are in line with the following regulatory requirements: 
  • Section 27 of the FAA which requires FA firms and representatives to have a reasonable basis for recommending any investment product to a customer; and 
  • FAA N16 (Notice on Recommendations on Investment Products which sets out the standards to be maintained by FA firms and representatives with respect to recommendations made on investment products.
  • The incumbent is responsible to review the “Validation of information given in the Plan RightTM Discovery & Solution” forms submitted by the Manulife representatives and ensuring the completeness and accuracy of information collated in the Plan RightTM documents. 
  • The incumbent is also to perform call backs to customers to verify details and information that is unclear and ambiguous during the reviewing process. 
  • The incumbent is responsible for the arriving at an accurate BSC grade for the cases he/she reviewed, with the number of infractions (either minor or major) to be documented as findings noted in the review. 
  • The incumbent is responsible to track and follow-up with the representatives on cases with infractions found and ensure the affected Plan Right TM documents are rectified accordingly thereafter.

Qualifications

Requirements:
  • Diploma/Degree 
  • FLMI 
  • CMFAS Exams (M5, M9, M9A, CHI, M8, M8A) 
  • 1-3 years insurance experience either in BSC or Compliance

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.


Category:
Legal & Compliance
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