Compliance Manager, 6 months contract (Manulife Asset Management)
jobsDB ref: JHK100003004999847
Employer Ref. 1700671
This position is responsible for managing investment compliance related projects. He / she also supports the Chief Compliance Officer, North Asia ex Japan in the overall supervision of the control environment in Manulife Asset Management to ensure compliance policies and procedures are adhered to. This position also aids in the maintaining of the compliance module (CMGR) in Bloomberg.
1. Implement investment compliance procedures and policies in accordance with all regulatory requirements and internal guidelines for Manulife Asset Management.
2. Determine and provide guidance in interpretation of rules for setting into the Bloomberg Trading and Portfolio Management System.
3. Assist in preparation of fund documentation, e.g. prospectus, notice.
4. Assist in resolving of breaches and errors.
5. Assist in liaison with local and overseas regulatory authorities, e.g. SFC, MPFA and other third parties including the funds’ trustees and industry associations.
6. Manage compliance related projects as assigned / partake in group projects from time to time as necessary.
7. Keep team leader abreast of compliance-related issues.
8. Keep abreast of regulatory development with respect to portfolios managed by Manulife Asset Management, and assess impact on operations.
9. Answer enquiries on compliance related issues.
10. Assist in preparation and presentation of appropriate training programs to Manulife Asset Management employees.
11. Assist in the review of marketing materials.
12. Assist in the compiling of SFC licensing applications and continuous professional training monitoring process.
13. Aid in the compiling of necessary compliance and regulatory reports and documents as assigned.
14. Plan and direct investigations and quality assurance reviews as required.
15. Any other compliance matter or otherwise as directed from time to time.
· Knowledge of investment industry and international financial markets.
· Knowledge of MPF regulations and SFC Codes and requirements.
· Experience in using the Bloomberg Trading System as a compliance monitoring tool (preferable though not a must-have).
· Analytical/Audit/Law/Compliance background; preferably with accounting / finance / legal designation.
· Approximately four to six years of Compliance experience with 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
Manulife Asset Management (MAM) is the asset management division of Manulife Financial Corporation. MAM’s diversified group of companies and affiliates provides comprehensive asset management solutions for institutional investors, investment funds and individuals in key markets around the work. This investment expertise extends across a full range of asset classes including equities, fixed income, derivatives, and alternative investments such as oil & gas, real estates, timber, farmland, as well as asset allocation strategies. MAM has investment offices across multiple continents – Asia, North America and Europe. MAM has more than 100 years of experience managing portfolios for The Manufacturers Life Insurance Company, John Hancock Life Insurance Company, and other major clients and is a leading global investment management group.
About Manulife Financial
See Job Description