Compliance analystManulife - Agnes Yung

Are you looking for unlimited opportunities to develop and succeed With work that challenges and makes a difference, within a flexible and supportive environment, we can help our customers achieve their dreams and aspirations.
Job Description
Responsibilities include:
Information Barrier:
Assist in the identification, review, research and resolution of potential cases of policy violations and issues related to the Information Barrier
Conduct Code of Ethics training with new hires and existing staff that includes a comprehensive review of the Information Barrier program.
Conduct periodic, transactional and forensic testing in support of the Investment Division Code of Ethics and Information Barrier Program
Conduct Wall Officer Duties for the Business Unit
Personal Trading:
Perform process to designate new employees as Access Persons (APs) and provide training.
Monitor employee trading activities and test trades for compliance with Manulife's personal trading policies.
Perform maintenance on employee brokerage accounts reported in Star Compliance.
Review daily trade exception reports of employee violation of the policies.
Prepare quarterly personal trading reconciliations for selected employees.
Follow up with the employees as well as their managers on violations of the policies.
Prepare written violation notices to employees as needed.
Arrange authorization letters to brokerage firms.
Contribute to the development and implementation of new/updated personal trading policies.
Create and maintain procedures for Personal Trading Compliance processes.
Review and Approve Managed/Discretionary Accounts for employees
Be the primary liaison with associates located in Manila
Assist in the roll-out of the Code of Ethics to other Asia countries
Provide regional oversight of CoE matters and be the point person for related queries.
Outside Affiliation's:
Assist the Director of Code of Ethics Center of Expertise with the management of the Outside Affiliation Program administration and due diligence process.
Field questions from the employees including other offices in the region to clarify issues related to the outside affiliation policy and questions relating to the personal trading system (Star Compliance).
Assist employees with the disclosure for Outside Business Activity.
Gifts and Entertainment:
Assist the Director with the management of the Gifts and Entertainment Program administration and oversight.
Monitor APs gift and entertainment reporting and test for compliance with Manulife's gift and entertainment policy.
Assist employees with the disclosure for Gifts and Entertainment.
Train and provide guidance to employees on acceptable Gifts and Entertainment practices
Other Compliance Responsibilities:
Assist in the preparation of materials for quarterly compliance committee meetings including standard and ad hoc reports on relevant compliance and other related matters
Assist the Manager with the implementation of enhancements to the software system
Liaise with Legal and senior management team to resolve APs' policy related problems.
Participate in the development, documenting and updating of the Code of Ethics monitoring desktop procedures.
Knowledge/Skills/Competencies/Education:
A minimum of a Bachelor Degree (in banking and finance) is required
The candidate should be self-confident, energetic, have an inquisitive mind, and be controls conscious
Strong organizational skills, an ability to manage assignments with competing priorities, excellent communication skills, and the ability to work both independently and as a member of a team are critical
Strong written and verbal communication skills in English
Excellent project management, organizational and analytical skills
Strong systems application and software skills, including Microsoft Access and Excel.
Demonstrated ability to independently manage a diverse and demanding workload; effective decision-making and prioritization of workflow skills.
Self-motivated and able to work within tight deadlines
Strong negotiation skills
Conscientious about quality of work
Ability to communicate with all levels of management including the Executive Management Team
Problems/Challenges:
Balancing current and future issues/needs in developing solutions to complex business issues
Providing timely and high-impact support to a cross-border department
Keeping numerous stakeholders involved in decision points and informed of status updates
Working with colleagues in different time zones
Staying abreast of constantly changing regulatory environment.
Position Dimensions (Organizational Impact):
Investments, Risk, Compliance, Legal
This Position Description is intended to describe the general nature and level of the work being performed by employees in this job. It is not intended to be a complete list of all responsibilities, duties and skills required for this job classification.
NOTE: Operations is on rotating shift (NIGHT and DAY)
If you are ready to unleash your potential, it's time to start your career with Manulife/John Hancock.
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 Canada, Asia, 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 2019, we had more than 35,000 employees, over 98,000 agents, and thousands of distribution partners, serving almost 30 million customers. As of March 31, 2020, we had $1.2 trillion (US$0.8 trillion) in assets under management and administration, and in the previous 12 months we made $30.4 billion in payments to our customers. Our principal operations are in Asia, Canada and the United States where we have served customers for more than 155 years. We trade as MFC on the Toronto, New York, and the Philippine stock exchanges and under 945 in Hong Kong.
Manulife is an equal opportunity employer. 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 and advancement and we administer all of our practices and programs based on qualification and performance and without discrimination on any protected ground. It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will consult with applicants contacted to participate at any stage of the recruitment process who request any accommodation. Information received regarding the accommodation needs of applicants will be addressed confidentially.

Compliance Analyst
Manulife - Agnes Yung
Philippines
Not Specified
Not Specified