Head of Distribution Compliance
2 weeks ago
About the Role
We are seeking a highly skilled and experienced Head of Distribution Compliance to join our team at Manulife. As a key member of our compliance function, you will be responsible for leading the development and implementation of our distribution compliance strategy, ensuring that our business operations are in line with regulatory requirements and industry best practices.
Key Responsibilities
- Lead the team to identify new regulatory changes on insurance and MPF business affecting distribution operation, advise on relevant impacts, drive changes to meet the rapid changes of compliance and regulatory requirement, and drive Distribution Operation to implement relevant compliance requirements.
- Ensure the continuous implementation and effectiveness of the Control Monitoring Framework for all distribution channels (including agents, agencies, banks and brokers).
- Oversee the team in conducting proactive compliance monitoring and reviews on distributors' licensing status, sales marketing materials, sales conduct and controls on Distribution Operation.
- Provide solid and practical compliance advice and support on Distribution Operation and business initiatives as required.
- Conduct investigation into distributors mis-conduct allegations and related complaints, timely identify non-compliance, recommend and follow through appropriate disciplinary action and oversees the intermediary misconduct matters including regulatory investigation and internal disciplinary action.
- Support Distribution Line 1B in implementation of good standard welcome calls, disciplinary policy, mystery shopping exercise, CPD review, data analytics to detect sale misconduct and agent fraud.
- Assign team to effectively communicate, educate and/or train Distribution Operation' staff and distributors on regulatory and supervising team's works.
- Review compliance communication and training materials and conduct training as required.
- Ensure the team's compliance with Company's Regulatory Risk Management Program and Risk Governance framework and promote risk culture within the team.
- Maintain effective communication with the Insurance Authority, MPFA, AMCM, Law Enforcement Agencies and our business counterparts.
- Assist in compliance related projects, as required.
What We Offer
- A competitive salary and benefits packages.
- A growth trajectory that extends upward and outward, encouraging you to follow your passions and learn new skills.
- A focus on growing your career path with us.
- Flexible work policies and strong work-life balance.
- Professional development and leadership opportunities.
About Manulife
Manulife Financial Corporation is a leading international financial services group that helps people make their decisions easier and lives better. With our global headquarters in Toronto, Canada, we operate as Manulife across our offices in Asia, Canada, and Europe, and primarily as John Hancock in the United States. We provide financial advice, insurance, and wealth and asset management solutions for individuals, groups and institutions. At the end of 2022, we had more than 40,000 employees, over 116,000 agents, and thousands of distribution partners, serving over 34 million customers. At the end of 2022, we had $1.3 trillion (US$1.0 trillion) in assets under management and administration, including total invested assets of $0.4 trillion (US $0.3 trillion), and segregated funds net assets of $0.3 trillion (US$0.3 trillion). We trade as 'MFC' on the Toronto, New York, and the Philippine stock exchanges, and under '945' in Hong Kong.
Equal Opportunity Employer
At Manulife/JohnHancock, 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.
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