Senior Manager, Product and Sales Compliance

This is a Senior Manager, Product and Sales Compliance role covering product and sales compliance advisory as well as investigation work relating to potential market misconduct issue. 

Key Responsibilities:

• Provide advice to the business and other relevant stakeholders on product and sales related regulations, regulatory expectations and best practices expounded by MAS
• Support the team in regulatory gap analysis work relating to product and sales compliance
• Plan investigation approach for cases requiring investigations and perform investigations including conducting interviews, document gathering and assessment in order to form an opinion on the validity of the underlying concern / concern raised
• Document investigation approach, steps, findings and conclusion in an investigation report
• Provide support within the team to guide more junior team members
• Periodically analyse the nature of cases and sales topics and develop content together with other members of the Compliance team to raise awareness of market conduct and conduct issues in general within the salesforce
• Through day to day advisory, gap analysis and investigations, identify areas for improvement in the company’s processes and controls, and work with the relevant stakeholders to address these in a timely manner

Minimum Requirements:

• Minimum 8 years relevant experience in product and sales compliance work, and/or investigations within the financial services industry or law enforcement agency in Singapore
• Sound understanding of Singapore regulatory requirements applicable to financial services industry, especially in the areas of product compliance, sales advisory compliance, conduct requirements and regulatory expectations
• Strong engagement and communication skills (both verbal and written)
• Highly analytical, structured and organised individual who is comfortable working independently or as part of a team
• Prior background in compliance/legal/forensics/audit/law enforcement work will be a strong advantage
• Prior experience engaging regulatory authorities will be a plus

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 https://www.manulife.com/en/about/our-story.html.

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 protected].