Compliance Consultant Asia, MIM Private Markets (12 months contract)
Hong Kong, HK

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Job Description

A Compliance Consultant is required to provide private equity / real assets compliance expertise in Asia to assist in the development of the fundamental regulatory compliance program.

Deliverable for the engagement would include :

Developing core Compliance policies and ensuring adequate business procedures are implemented to support the Compliance policies

Developing and conducting testing and monitoring routines to assess the effectiveness of the policies and procedures

Conducting targeted compliance training

Providing regular reporting of the compliance program and escalation of issues to business and Compliance senior management.

The Consultant would work closely with other members of the regional Compliance team supporting the various private market business functions by designing a compliance program that aligns with our investment products, distribution and services.

Responsibilities include identifying compliance-related risks, providing advice and guidance on compliance responsibilities, facilitating the development of appropriate controls, and reviewing policies and procedures on a regular basis for their adequacy and the effectiveness of implementation.

  • In addition, the Consultant would participate in due diligence exercises related to strategic projects and would be responsible for identifying and coordinating the local compliance expertise for specific distribution projects across the region;
  • working on new distribution channels such as high net worth in developing a robust compliant framework around d and working with the regional Compliance team which conducts review of marketing material.


    Sound business knowledge of the investment management processes related to investing in private and alternative asset classes, to anticipate, monitor and manage compliance risks resulting from various investment activities.

    Strong understanding of local laws, particularly in China, HK and Singapore

    Awareness of global regulatory requirements, particularly in Canada, Europe and the rest of Asia.

    Familiar with regulatory and business requirements for service provider oversight program (as well as experience developing and / or administering such a program).

    Ability to manage highly complex compliance matters.

    Excellent interpersonal skills who can interact with employees of all levels and operate well in a collegial financial company working environment.

    Detail-oriented, motivated, creative problem solver, and an independent thinker. Able to roll up sleeves and achieve business and Compliance goals

    Experience interacting with regulators, auditors, and fund service providers.

    Ability to analyze industry regulations; adapt and develop policy and procedures to meet compliance requirements.

    Strong project management skills.

    Excellent oral and written communication skills.

    Education and Industry Experience :

    Undergraduate degree or equivalent (background in investment management, finance, law, operations, or audit). Law or graduate degree a plus

    10+ years as a compliance / law / audit professional, with private equity experience

    Challenges :

    Asia Private Markets is a global cross-border business demanding that the incumbent be capable and flexible to work in a fast-paced environment managing many different regulatory regimes.

    Providing timely advice and solutions to business partners to achieve strategic objectives in complex regulatory (and highly competitive) markets

    Participating in, and coordinating high performing, team with global colleagues, with an appreciation of various cultures and respect for different approaches to business

    Array of senior and junior members of other business units on an effective basis

    Management of various deadlines utilizing resources efficiently

    High sensitivity of, and ability to identify, potential conflicts and problems that must be escalated to management quickly to facilitate timely resolution

    If you are ready to unleash your potential, it’s time to start your career with Manulife / John Hancock.

    About Manulife

    Manulife Financial Corporation is a leading international financial services group that helps people make their decisions easier and lives better.

    With our global headquarters in Toronto, Canada, we operate as Manulife across our offices in Canada, Asia, and Europe, and primarily as John Hancock in the United States.

    We provide financial advice, insurance, and wealth and asset management solutions for individuals, groups and institutions.

    At the end of 2019, we had more than 35,000 employees, over 98,000 agents, and thousands of distribution partners, serving almost 30 million customers.

    As of March 31, 2020, we had $1.2 trillion (US$0.8 trillion) in assets under management and administration, and in the previous 12 months we made $30.

    4 billion in payments to our customers. Our principal operations are in Asia, Canada and the United States where we have served customers for more than 155 years.

    We trade as 'MFC' on the Toronto, New York, and the Philippine stock exchanges and under '945' in Hong Kong.


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