Trung Sơn Alpha

Position Responsibilities

• Assist the Head of Legal & Compliance to:
• maintain current awareness of applicable and proposed laws and regulations and make recommendations to the Head of Legal & Compliance in compliance with applicable regulations;
• maintain the Group’s and Company’s compliance policies and procedural manuals, drafting and updating policies and procedures as required by local regulations and Manulife’s policies;
• handle conflict of interest and dispute;
• maintain risk management matters as required by regulations;
• maintain AML/ATF program
• Support any projects related to Legal and Compliance
• Maintain & perform testing Compliance Monitoring Plan to ensure compliance with applicable laws, regulations & Manulife’s policies, i.e : codes of conduct, conflict of interest, trade allocation, front trading, distribution, etc…;
• Perform investment compliance, rule coding and monitoring in compliance with approved parameters;
• Manage personal trading disclosure program and perform gift clearance;
• Update, maintain and perform AML/ATF program, update AML/ATF’s policies & procedures in accordance with local laws & Manulife’s polcies;
• Perform distribution compliance;
• Prepare compliance reports and other management reports as required by local regulations and internal requirements;
• Handle and monitor investor hotline and ensure investor complaint handling procedures are in place;
• Handle and monitor information disclosure in compliance with stipulated regulations;
• Supervise the custody and separation of assets and capital of each entrusted investor, each fund and the Company;
• Supervise the valuation of net asset value of the fund and the pricing of fund certificate;
• Check the legality, honesty, reasonability and prudence in fund management, asset and portfolio management, accounting books and reporting activities;
• Supervise idle capital financial safety ratios;
• Monitor the Company license status & staff’s license, register and de-register staff’s license with SSC;
• Promptly report any breach of compliance policy and follow up with on action plan;
• Update new laws and regulations;
• Frequent report to the Head of Legal & Compliance for all handling matters; and
• Other related works arising from time to time as requested by the Head of Legal & Compliance
  
  

Required Qualifications

• 5-8 years in total
• Have accounting or audit certificate; or bachelor’s degree in accounting or audit or higher and has at least 01 year’s experience of working in accounting or audit;
• Have a bachelor in economics (major in auditing or accounting).
• Have at least 02 years’ experience of working in specialized departments of fund management companies, securities companies, credit institutions, insurance firms, audit organizations or finance, banking, insurance, securities or state audit authorities;
• Adequate 2 certificates of professional qualification in securities and the securities market (Certificate of Basic Securities Market, and Certificate of Basic Securities Law issued by SSC).
  
  

When You Join Our Team

• We’ll empower you to learn and grow the career you want.
• We’ll recognize and support you in a flexible environment w1here well-being and inclusion are more than just words.
• As part of our global team, we’ll support you in shaping the future you want to see.
  
  

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].

Working Arrangement

In Office