TWN-082893-Legal & Compliance Assistant Manager - Level 5

Investment and Trade Compliance

Responsible for monitoring the investment guidelines on day-to-day basis and coding/set-up the investment rules in the systems or monitoring tools. Responsible for investment guidelines and issues escalation, issue solutions, and investigation into the trade-alerts (pre-trade or post-trade monitoring) and preparation for regulatory reporting or group reporting Prompt and frequent communication with investment teams, trading, product team, sales team or other stakeholders for investment rules interpretation and problem solutions and collaboration, and regulatory applications. Support for the group or regional Compliance teams or hubs for globalization process or alignment. Key member to represent Compliance and provide advice to new product launch or business initiatives, including solid advice for fund launch registration and fund prospectus (including onshore funds and offshore funds), and Mandate accounts; also to deal with review and revisions on fund documents or mandate agreement.  Key member to represent Compliance for active participation in the firm’s system implementation projects, user-specification, testing, and system enhancement, in relation to Compliance matters and investment guidelines monitoring.

General Compliance

Active engagement in addressing any regulatory developments, changes, updates, including communication and follow-up with stakeholders for responses/gap analysis, dealing with regulatory inquiries or ad-hoc survey from regulators, and communication with markets or industry events with impact on the firm’s compliance with regulatory requests.

Active engagement in the firm’s  regular or ad-hoc surveys or requests from other departments, including interest-parties survey, no-outside business survey, W8BEN forms and other corporate or Board documents.

Responsible for group risk management escalation or assessment and dealing with the group risk monitoring or logging tools or systems.

Delivery of relevant control and reporting to the regional/senior management in the regular reports (Monthly, Quarterly, Semi-annual)

Delivery of compliance training (e.g. personal information/privacy, Access Person policy)

Delivery and implementation of Manulife policies to relevant departments.

Other general Compliance matters.

Board of Directors Meeting

Preparation for Board Meeting package and meeting logistics.

Dealing with the internal or external inquiries on corporate matters or Board composition or record consistence in the group systems.

Legal Support

Legal support to sales distribution agreements, investment-related documents, mandate accounts agreement.

Dealing with agreement retention and logging.

Active corporation with team lead and team members for Compliance works implementation. 

About Manulife and John Hancock

Manulife Financial Corporation is a leading international financial services provider, helping people make their decisions easier and lives better. To learn more about us, visit https://www.manulife.com/en/about/our-story.html.

Manulife is an Equal Opportunity Employer

At Manulife/John Hancock, we embrace our diversity. We strive to attract, develop and retain a workforce that is as diverse as the customers we serve and to foster an inclusive work environment that embraces the strength of cultures and individuals. We are committed to fair recruitment, retention, advancement and compensation, and we administer all of our practices and programs without discrimination on the basis of race, ancestry, place of origin, colour, ethnic origin, citizenship, religion or religious beliefs, creed, sex (including pregnancy and pregnancy-related conditions), sexual orientation, genetic characteristics, veteran status, gender identity, gender expression, age, marital status, family status, disability, or any other ground protected by applicable law.

It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will work with applicants who request a reasonable accommodation during the application process. All information shared during the accommodation request process will be stored and used in a manner that is consistent with applicable laws and Manulife/John Hancock policies. To request a reasonable accommodation in the application process, contact hr@manulife.com.

Working Arrangement