
Regulatory Conduct and Culture, Director
4 days ago
A senior member of the compliance team, focusing on regulatory liaison duties and driving conduct and culture matters pertaining to the distribution channel.
**Position Responsibilities**:
- Manage and track the company’s engagements with regulators, law enforcement agencies, authorities and industry bodies
- Work closely with internal stakeholders to provide quality and timely responses to regulatory queries
- Review and assess matters pertaining to fitness and propriety of new and existing agents/representatives as a member of the Fit and Proper Committee
- Drive the conduct and culture agenda of the company from a compliance perspective through timely identification and implementation of conduct and culture initiatives to improve awareness of sound conduct and culture behaviour based on the company’s values and regulatory outcomes
- Ensure that the company’s fit and proper, outside business activities and consequence management frameworks are sound, robust and effectively implemented
- Provides advise to business stakeholders on regulatory engagement, conduct and culture matters
- Provide quality input to Compliance reports
- Works independently with mínimal day-to-day guidance
- Conduct trainings on conduct and culture matters
- When applicable, report irregularities to Management which may include Senior Management of the various business units we support
- Involved in company or department initiatives, including policy and procedure improvements
**Required Qualifications**:
- Diploma or Degree in finance, business, or related fields
- Minimum 10 years of related insurance industry experience
- Regulatory and market conduct compliance background is required
- Professional qualifications such as FLMI, Diploma in Life Insurance, CMFAS Exams (M5, M9, M9A, CHI, M8, M8A), Diploma in Financial Planning will be preferred
- Knowledge of key rules and regulations governing insurers and financial advisers
- Possess an ethical and tenacious mindset
- Ability to tackle problems
- Collaborative attitude and team player
**_When you join our team: _**
- We’ll empower you to learn and grow the career you want.
- We’ll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
- As part of our global team, we’ll support you in shaping the future you want to see.
**About Manulife and John Hancock**
**Manulife is an Equal Opportunity Employer**
**Working Arrangement**
Hybrid
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