Manager, Distribution Compliance
2 weeks ago
**_We are a _**_leading financial services provider committed to making decisions easier and lives better for our customers and _**_colleagues around the world. From our environmental initiatives to our community investments, we lead with values throughout our business. _**_To help us stand out, we help you step up, because when colleagues are healthy, respected and meaningfully challenged, we all thrive. Discover how you can grow your career, make impact and drive real change with our Winning Team today. _**
**Working Arrangement**
Hybrid
**The opportunity**
**DUTIES & RESPONSIBILITIES**
**MAIN TASKS**
Acting role as the second line of defense compliance function in Vietnam market,
- Oversight sale compliance of all distribution forces to regulations, rules, internal instructions, guidelines of the Company, compliance standards for Asia segment and the laws of Vietnam;
- Leading team to performing whole investigative process including progression of activities or steps moving from data/information collection & analysis, evidence gathering tasks, to theory development and validation, to forming reasonable ground to believe, to conduct interviews directly with related parties and finally to enforce ethic code;
- Investigating potential misconduct/fraud cases including but not limited to sale misconduct suspicions, customer complaints, incidents, allegations, claim, fraud, or breaches, etc., within TAT;
- Be supportive and giving feedback timely to the internal stakeholders to control agent’s malpractice;
- Reviewing exception findings from (i) escalations by Line1B, (ii) observations from compliance analytic & monitoring tools, and (iii) investigation reports of other investigators as well;
- Timely updating the investigation result and report, which shall include allegation verification recommendations on actions and disciplinary action forms/ penalties (if any);
- Detecting abnormal signals and recommending measures to prevent risks in the future;
- Doing compliance check at sale offices;
- Reporting investigation results and making recommendations or appropriate measures to mitigate risks to Disciplinary Committee or executive management team;
- Other duties as requested by Head of Distribution Compliance (if yes)
**C. JOB SPECIFICATION**
EDUCATION / TRAINING: University degree in Commerce, Finance, Law, Security, Police.
EXPERIENCE: At least 5-7 years of working experience in investigation field including data statistic.
COMPUTER PROFICIENCY: Very good expertise in Excel, PowerPoint, Microsoft Office (chart, graphic, power BI ),
COMPETENCIES
- Experience in forensic / Advisory would be a plus
- Good English in both speaking and writing
- Good analytical and critical thinking
- Highly developed influencing, negotiating, decision making and presentation skills
- Reporting skill
- Hard-working, honest, trustable, customer service minded and responsible
- Ability to work under high pressure and do multi-task on individual jobs
- Able to handle difficult situations and deal effectively with people at all levels
**How will you create impact?**
2-3 sentences on who do they report into and how does this role affect our org.
**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**
- Requirement 1
- Requirement 2
- Requirement 3
- Requirement 4
- Requirement 5
**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 John Hancock and Manulife**
**Manulife is an Equal Opportunity Employer
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