Head of Product and Sales Compliance
1 week ago
The opportunity
The incumbent is a key member of the Compliance team and will be required to contribute to achieving the Company and Distribution’s strategic plans and annual business plan.
Responsibilities
- Supervise and assume responsibility for the Products and Sales Compliance (PSC) team and the team’s work deliverables covering pre-sales, point of sales and post sales compliance activities, and ensure that appropriate escalations are made to the Chief Compliance Officer where necessary;
- Prepare and execute an annual compliance work plan;
- Prepare reports to management/stakeholders regarding the status of recommendations made as a result of regulatory, audit, monitoring review findings etc.;
- Ensure that the business complies with the Company's policies, procedures, and practices, and also with the applicable provisions of the Financial Advisers Act (FAA), and/or any other legislation or guidelines from MAS or LIA;
- Work with Agency Management, Distribution Learning and Development, Distribution Services, as well as with Agency Branch Directors, in ensuring the Company is continually working towards fulfilling its regulatory obligations, achieving sound market conduct by the representatives, and implementing best practices of financial advice;
- Work closely with all relevant stakeholders in assessing and implementing any new or amended regulations, regulatory requirements, or expectations, including LIA guidance;
- Supervise the management of appeals on BSC grades and replacement of policies;
- Provide inputs to working groups or LIA as a representative of the company for mystery shopping exercises;
- Assist the Chief Compliance Officer in the general management of the compliance team and any other required task or project.
What motivates you?
- You obsess about customers, listen, engage and act for their benefit.
- You think big, with curiosity to discover ways to use your agile approach 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.
What we are looking for
- Bachelor's degree of audit, finance or business relevance or higher with at least 15 years of compliance experience in similar capacity in the financial industry, preferably within a life insurance or retail banking environment.
- Excellent working knowledge of Insurance Act, Financial Advisers Act, other relevant MAS regulations and guidelines and LIA Guidelines.
- Strong understanding of life insurance, financial advisory environment and business needs and able to provide solutions to support business stakeholders.
- Strong leadership, communication and interpersonal skills.
What can we offer you?
- 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.
Our commitment to you
- Values-first culture
We lead with our Values every day and bring them to life together. - Boundless opportunity
We create opportunities to learn and grow at every stage of your career. - Continuous innovation
We invite you to help redefine the future of financial services. - Delivering the promise of Diversity, Equity and Inclusion
We foster an inclusive workplace where everyone thrives. - Championing Corporate Citizenship
We build a business that benefits all stakeholders and has a positive social and environmental impact.
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 .
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 .
Working Arrangement
Hybrid
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