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Compliance Manager

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Manulife

Jan 15, 2025

  • Job
    Full-time
    Mid Level
  • Legal
  • London
  • Quick Apply

AI generated summary

  • You need a degree, 3+ years in compliance, strong FCA/CBI knowledge, familiarity with AIFMD/UCITS, and excellent communication skills. Legal background and IMC qualifications are a plus.
  • You will provide compliance advice, review marketing materials, monitor regulations, assist in compliance reviews, deliver training, foster relationships, report on trends, and develop policies.

Requirements

  • Educated to degree level with a strong academic background.
  • At least 3+ years of experience in a compliance role, with focus on distribution.
  • Excellent understanding of FCA or CBI and European rules and regulations.
  • Familiarity with AIFMD and UCITS compliance requirements for the sales, marketing and distribution of products.
  • Ability to understand and interpret complex regulations, to assess their interdependencies and summarize their impact for consideration by Chief Compliance Officer(s).
  • Excellent communication skills, both written and verbal, including the ability to communicate clearly with senior executives.
  • Articulate, precise with a rigorous attention to detail.
  • Ability to multi-task and to work well under pressure. Understanding of cross-border distribution requirements.
  • Experience and knowledge of industry best practices and the ability to translate vision into practical compliance programs which seek to mitigate risk.
  • Ability to arbitrate and resolve conflicts between internal and/or external stakeholders.
  • Legal background an advantage.
  • IMC qualifications an advantage.
  • Fluency in one or more European languages is desirable but not essential.
  • Multi-jurisdictional regulatory experience, within Europe and the Middle East, Latin America a plus.

Responsibilities

  • Providing specialist compliance advice to various departments within the business on the laws and regulations governing the marketing of public and private asset strategies, funds, including AIFs, within the various jurisdictions in Europe, the Middle East and Latin America.
  • Providing advice and guidance to sales and marketing personnel on the conduct of their sales and marketing activities and the content of any sales and promotional materials; reviewing and approving such materials.
  • Monitor and staying abreast of regulatory developments related to distribution and marketing.
  • Assist in the development and delivery of training programs to ensure understanding and compliance with relevant regulations.
  • Assisting in Compliance reviews of existing and new distributors in the UK, Europe and the Middle East.
  • Providing support to the EMEA team in the performance of compliance monitoring and policy reviews and other responsibilities as needed.
  • Develop trusted relationships with our business partners to strengthen and promote a positive culture towards compliance and ethical decision making as an integral pillar of our customer-centric strategies; drive the business areas to proactively identify and mitigate risks, and prioritize the updating of control procedures.
  • Deliver high quality regular management information reporting; incorporate data analytics to identify trends, provide insight to key stakeholders, and proactively mitigate key and/or emerging risks.
  • Help to create and implement innovative policies, guidance materials and procedures global and local levels, working with compliance colleagues and other stakeholders across functions.

FAQs

What is the primary focus of the Compliance Manager role at Manulife Investment Management?

The primary focus of the Compliance Manager role is to support distribution efforts for the EMEA business, specifically concerning UCITS and AIFMD compliance.

What qualifications are required for the Compliance Manager position?

Required qualifications include a degree with a strong academic background, at least 3+ years of experience in a compliance role focusing on distribution, familiarity with FCA or CBI regulations, and knowledge of AIFMD and UCITS compliance requirements.

Is language proficiency required for this role?

Fluency in one or more European languages is desirable but not essential.

Will the Compliance Manager need to collaborate with teams in other regions?

Yes, the Compliance Manager will work closely with Compliance officers in North America, APAC, and EMEA, as well as colleagues in global wealth business units.

What kind of experience is preferred for this position?

Preferred qualifications include a legal background, IMC qualifications, and multi-jurisdictional regulatory experience in Europe and the Middle East or Latin America.

What are the key responsibilities of the Compliance Manager?

Key responsibilities include providing compliance advice, reviewing marketing materials, monitoring regulatory developments, developing training programs, and delivering management information reporting.

What is the working arrangement for this position?

The working arrangement is hybrid, allowing for both in-office and remote work.

What kind of organizational culture can the Compliance Manager expect at Manulife?

The Compliance Manager can expect a collaborative and inclusive culture that values diversity and encourages proactive identification and mitigation of risks.

What career development opportunities are available in this role?

The company empowers employees to learn and grow in their careers, providing support in a flexible environment and opportunities to shape the future.

How does Manulife support applicants who require accommodations during the application process?

Manulife prioritizes removing barriers to provide equal access to employment and will work with applicants who request reasonable accommodations during the application process.

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Manulife

Finance
Industry
10,001+
Employees

Mission & Purpose

Manulife is a leading international financial services group that helps people make their decisions easier and lives better. With our global headquarters in Toronto, we operate as Manulife across our offices in Canada, Asia, and Europe, and primarily as John Hancock in the United States. We have more than 40,000 employees, over 116,000 agents serving ~34 million customers worldwide, and over $1.3 trillion in assets under management and administration.