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Compliance Analyst

Job Category:

BPO / KPO / Shared Services

Job Level:


Open Date:




Close date:


Client Industry:


Job Description and Qualification:

  • Job Profile Description
    Job Profile Description

    The compliance analyst is responsible for any number of the following items: - Investments Pre-trading - Code of Ethics, Email Surveillance and Information Barrier Programs - Retirement Plan Administration - Regulatory Compliance The role works to ensure the team is compliant with all legal and regulatory requirements and takes on projects as assigned. This job description does not represent a comprehensive listing of job duties that are required of the employee performing this role. We reserve the right to change duties or assign additional duties at any time with or without notice. People Leader Role: No Essential Responsibilities: Individual Responsibilities: • Regularly update and report to Senior Counsel and Compliance Officer • Uploads and organizes relevant documents in electronic files • Ensures the accuracy and integrity of file documentation regarding legal and compliance issues • Conducts research for the area • Renews registrations, records and saves electronic evidence of renewal • Facilitates accounts payable processing in coordination with the Accounts Payable department • Tracks all client products, special arrangements and contracts • Receives and tracks incoming mail as well as other Legal and Compliance related correspondence • Processes UPS and FedEx shipments for the Legal and Compliance team • Builds strong working relationships with the Global, Canadian and U.S. Compliance areas as well as business partners • Delivers outstanding customer service • Works on other individual special projects as assigned • Additional duties as assigned Shared Responsibilities: • Shares and communicates best practice principals, ensuring consistency, efficiencies and proper risk mitigation across the IGP Business Unit. • Supports various marketing initiatives • Assists with team based special projects as assigned • Communicate and outreach to the department regarding requests and give status updates • Delivers outstanding customer service • Provides support to the Business Unit on compliance and other assignments • Have knowledge of the regulatory landscape which governs the Firm’s activities Job Requirements: • Bachelor’s degree or equivalent experience in legal and compliance or relevant field • At least two years of relevant experience in the relevant field of compliance • Experience in international insurance/reinsurance or finance is a plus. • Strong knowledge of ERISA, Code, and Regulations as they apply to plan operation and qualification requirements • Excellent organizational skills • Ability to work cohesively in a team environment as well as independently • Strong interpersonal, verbal and written communication skills • Technical proficiency in company systems • Analytical and problem-solving competencies • High attention to detail and dedication to quality • Disciplined individual who displays a sense of urgency and a strong ethical compass • Displays utmost discretion always but especially when working on sensitive legal and compliance issues Decision Authorities: • Managing internal and external resources to achieve targets • Providing timely and high-impact support • Keeping numerous stakeholders involved in decision points and informed of status updates • Staying abreast of constantly changing regulatory environment • Authority to clear pre-trade, post-trade, and batch compliance alerts • Prioritizing and reprioritizing work deliverables and projects for internal clients based on changing business needs • Managing internal and external resources to achieve targets • Managing projects within the given/approved budgets Working Condition: • MANULIFE IS AN EQUAL OPPORTUNITY EMPLOYER - AA/F/M/D/V

  • Job Posting Description
    Job Posting Description

    Reports directly to the Lead of Independent Testing team of ICS. Support the Lead in carrying out the compliance monitoring and testing function in Asia. The testing function includes:

    • Supporting and implementing the annual testing plan approved and providing feasible solutions to address issues identified or recommendations to improve the business process and setting up best practices
    • Preparation of detailed testing templates, questionnaires, gathering of information and data from the testing subjects for review and analytics, follow up questions and outstanding information, creating high quality working papers, drafting testing report
    • Assisting the preparation of training materials and presentation deck to management when required
    • Other ad-hoc testing request arising from the immediate supervisor or Asia Compliance
    • Collaborate with various business units, compliance teams in Asia jurisdictions
    • Document the review and testing results with Manulife record management standard. Upload and maintain testing plans, results and records to the Archer data base

    Job Requirements:

    • Proven experience in Compliance / Legal / Audit
    • Quick learner, detail oriented, proven ability to manage multi-tasks
    • Proficient in MS Office Suite of products including MS Word, Excel, Power Point
    • Fluent in English and good report writing skill
    • Good interpersonal skill, flexible and adaptable when dealing with change with a strong awareness and understanding of cultural diversity
    • Ability to work independently under pressure

    Education/Professional Experience

    • Bachelor’s degree in Accounting, Legal, Finance, Business or related fields
    • Professional knowledge in Compliance, Legal, or Audit
    • 2-4 years working experience in either CPA firm, or the financial sectors


    • AML knowledge and experience
    • Insurance or banking experience
    • Internal or external audit experience