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31 July 2020
Job ID: BK-234985
Distribution Compliance (Assistant Manager/Manager)

Role Summary:

This role will support Head of Legal and Compliance of Asset Management Business in its mandate to develop a distribution compliance framework. Also, to develop ongoing policies, processes and procedures to ensure that business is complied with all regulatory requirements e.g. SEC, AML, Data Privacy, FATCA etc.

Responsibilities: 

  • Maintain current awareness of applicable and proposed laws and regulations and make recommendations to Management on compliance with applicable regulations e.g. SEC, AML, FATCA, Data Privacy etc.,.
  • Monitor compliance with regulations and policies/procedures. Carry out research and provide interpretation and advice relating to applicable regulations.
  • Liaise with regulatory authorities, internal and external auditors.
  • Monitor and assist in investment holding disclosure reporting
  • Maintain awareness, review and assess alerts for Money Laundering, escalate suspicious alerts for further review and investigation.
  • Conduct Compliance Review Plan, maintain documentation to support the review.
  • Review marketing materials and client correspondences for compliance with internal and regulatory requirements.
  • Review and monitor for compliance with the Code of Ethics and regulatory requirements.
  • Assist in the implement an effective compliance monitoring program.
  • Manage regulatory reporting and submissions.
  • Update the company’s compliance manual and provide advice to the business on compliance with applicable laws and regulations.
  • Conduct staff training on compliance and regulatory issues/ requirements.
  • Participate in ad-hoc projects
  • Any other compliance responsibilities which may be assigned from time to time


Qualifications:

  • Bachelor's/Master’ in Law, Finance or any business related field.
  • Having 7-10 years of  working experienced related Legal, Compliance, Internal Audit in financial service.
  • Having very well knowledge in SEC and AML law and regulations
  • Good attention to detail, well-organized with structured and logical approach
  • Strong interpersonal skill to work well with people.
  • Ability to multitask and work under pressure to meet tight deadlines
  • Ability and willingness to learn and support new instruments and strategies quickly
  • Strong analytical skills and the ability to think laterally and provide constructive feedback. 
  • Strong team player / collaborator
  • Proactive / can-do approach and attitude
  • Very good English communication

Please note that only shortlisted candidate will be notify. 

Office Location: Singha Complex, New Petchaburi Road
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Job Details:

Benefits:
  • Five-day work week
  • Performance bonus
  • Medical insurance
  • Life insurance

Manulife Insurance Thailand PCL
Manulife Financial Corporation is a leading international financial services group providing forward-thinking solutions to help people with their big financial decisions. We operate as John Hancock in the United States, and Manulife elsewhere across our three operating divisions: Asia, Canada and the United States. Our international network of more than 34,000 employees and 63,000 agents offers our clients a broad range of financial protection and wealth management products and services. Financial Solutions Our comprehensive range of financial protection and wealth management products and services cover a broad range of needs, including: • Life Protection • Retirement Planning • Savings and Investment • Education Planning • Investment linked plans • Income Protection • Health and Medical • Mutual funds   Manulife Insurance (Thailand) Public Company Limited  Manulife Thailand began operating as Manulife Insurance (Thailand) Public Company Limited (formerly known as Interlife John Hancock Assurance Company) in June 2005. Based in Bangkok, the company's network serves the Thai people from 11 business centers nationwide. Manulife provide its product and service through three main distribution channels which are Agency, Telemarketing and Worksite Marketing. In May 2007, Manulife Insurance Thailand announced the launch of Manulife Asset Management Thailand (MAMT). The new asset management company, which is wholly owned by Manulife Insurance Thailand, offers a range of Thai-registered, Thai-baht denominated funds to both retail and institutional investors.

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