Senior Executive/Executive, Compliance
Are you looking for a supportive, collaborative workplace with great teams and inspiring leaders? You've come to the right place. We're looking for ambitious people who share our values and want to make every day better for people around the world. If this sounds like you, and the career below sounds exciting, we'd like to hear from you. Job Description The Opportunity
Manulife Financial Advisers Pte Ltd ("Manulife FA") is a subsidiary of Manulife Singapore ("MLS"). Reporting to the Manulife FA Head of Legal & Compliance ("HLC"), the candidate will be part of the Manulife FA Distribution Compliance team working closely with various entities and stakeholders such as the Manulife FA team - CEO, Chief Cluster Officers, Agency Management, Branch Directors, Representatives/Agents and relevant MLS teams related to all compliance and regulatory matters.
The candidate will assist mainly in distribution compliance work on BSC and investigations. Prepares reports by collecting, analysing, and summarizing information. Maintains rapport with stakeholders by maintaining continuing contacts and resolving concerns. Plans and coordinates operational activities to guarantee compliance. Ensure that Manulife FA representatives are compliant with rules and regulations. What motivates you?
What we are looking for:
- You obsess about customers, listen, engage and act for their benefit
- You think big, with curiosity to discover ways to use your agile mindset and enable business outcomes
- You thrive in teams, and enjoy getting things done together
- You take ownership and build solutions, focusing on what matters
- You do what is right, work with integrity and speak up
- You share your humanity, helping us build a diverse and inclusive work environment for everyone
On the job you will handle:
- Diploma or Degree
- M5, M8, M8A, M9, M9A, HI and CGI preferred
- ICA Diploma in Compliance preferred
- Familiarity with Financial Advisory sales process is advantageous
- At least 1-2 years' experience in the life insurance industry (preferably in the area of Compliance or FA Sales & Distribution or Training & Competency)
- Ability to communicate clearly to non-technical audiences on defined contribution compliance issues
- Ability to prioritize, organize, and work on multiple tasks simultaneously
- Solid written and verbal communication skills. Use these skills while working with BU partners and with different levels of the organization.
- Solid technology skills; knowledge of or ability to learn applicable compliance or business systems
- Solid analytical and problem-solving skills.
- Detail oriented
- Candidate will be an investigator and part of the investigation team.
- Carry out investigation including statement taking, documentation review, client call backs etc; and recommend appropriate follow-up action.
- Highlight any issues identified during the investigations.
- Prepare investigation reports for review by HLC.
- Assist to prepare and present cases to Disciplinary Committee for disciplinary action.
- Liaise with other relevant departments for investigations.
- Liaise with departments concerned on procedures to be corrected or actions to be carried out (if any).
- Assist in preparing documents for FIDReC cases and attend hearings with seniors.
- Assists senior level team members with routine tasks and assignments
- Any other matters relating to complaints investigation as may be assigned from time to time.
Balanced Scorecard ("BSC") Framework
- BSC review is conducted by BSC review team at MLS.
- Candidate is expected to substantially work on BSC matters with reference to MAS regulation or guidelines on BSC framework applicable to financial advisory sector.
- Prepare documentation and information as requested by BSC review team.
- Liaise and discuss with BSC review team on any queries or any clarifications they may have.
- Review initial BSC results received from BSC review team.
- Liaise with stakeholders on the initial BSC results.
- Receive and review BSC appeals from representatives.
- Assist to conduct certain client call backs on the service recovery done by representatives
- Arrange, prepare and present BSC appeals to BSC Appeal Committee for decision to be made on BSC appeals.
- Prepare and communicate BSC appeal decisions and required actions to representatives.
- Prepare reports on BSC results for MAS, MLS and management.
- Conduct BSC infractions trend analysis and report any concerns noted.
- Conduct BSC training to representatives.
- Oversee Mystery Shopping assessment and ensuring related regulations are followed.
- Work with mystery shopper on design of onsite inspection and mystery shopping survey forms for roadshows
- Build strong working relationships with compliance and business partners
- Support special projects
- Communicate and provide guidance to stakeholders regarding BSC issues or questions.
- Share best practices with other team members, ensuring consistency and scalability
- Any other matters relating to BSC as may be assigned from time to time
Other general duties
Our commitment to you
- Cover and backup for colleagues on other compliance related duties during any absence e.g. medical leave.
- Any other tasks / projects assigned or taught from time to time.
- Our mission; to be a part of making Decisions Easier and Lives Better
- A leadership team dedicated to your growth and success
- A bold ambition and set of goals to be a leader in driving transformation in our industry
- Our best. Every day.
Learn more about opportunities with us at jobs.manulife.com Every career at Manulife/John Hancock provides the opportunity to learn new skills and move your career forward. Ready to make an impact somewhere? What are you waiting for? Apply today. About John Hancock and Manulife
John Hancock is a unit of Manulife Financial Corporation, a leading international financial services group that helps people make their decisions easier and lives better. We operate primarily as John Hancock in the United States, and Manulife globally, including Canada, Asia and Europe. We provide financial advice, insurance and wealth and asset management solutions for individuals, groups and institutions. Assets under management and administration by Manulife and its subsidiaries were CAD$1.3 trillion (US$1.1 trillion) as of June 30, 2021. Manulife Financial Corporation trades as MFC on the TSX, NYSE, and PSE, and under 945 on the SEHK. Manulife can be found at manulife.com .
One of the largest life insurers in the United States, John Hancock supports more than 10 million Americans with a broad range of financial products, including life insurance , annuities , investments , 401(k) plans , and education savings plans . Additional information about John Hancock may be found at johnhancock.com . 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 email@example.com .