Distribution Compliance Expert

1 week ago

Makati City, National Capital Region, Philippines Manulife Financial Full time
About the Role
We are seeking an experienced Product Conduct Risk Specialist to join our team. In this role, you will be responsible for ensuring the quality and sustainability of our business as we continue to expand our salesforce. This role is critical in providing guidance and support to the business to meet new regulatory changes and industry initiatives.

Responsibilities
  • Serve as Subject Matter Expert (SME) for Product, Sales Conduct, distribution compliance, and fair treatment of customers across the full policy lifecycle.
  • Manage and oversee regulatory/compliance obligations; ensure controls and processes are in place to detect and mitigate any risk of non-compliance.
  • Develop and implement the compliance monitoring and testing program for ongoing assessment of control effectiveness of PSD risk.
  • Prepare, review, and submit internal and regulatory reporting within specified timelines.

Accountabilities:
  • Act as primary reviewer of all life insurance products.
  • Collaborate with team members to identify, monitor, and report PSD risk that may arise to the Chief Compliance Officer.
  • Develop and conduct risk assessment models, tools, and controls testing to identify risks and propose mitigation approaches.
  • Carry out annual compliance quality assurance testing in accordance with the Distribution Compliance Controls Testing Guide, relevant laws, internal rules, and industry standards.
  • Oversight the implementation of controls by 1LOD, review testing results, and advise on mitigation actions.
  • Evaluate complaints, allegations, indicators relating to agent sale misconduct and provide timely feedback to customers and disciplinary action when necessary.
  • Conduct sales misconduct and distribution fraud investigations, including evidence gathering, data analysis, theory development, and enforcement of ethics codes.
  • Review sales and marketing documents for regulatory compliance.
  • Assess appropriateness of sales compensation structures to ensure no incentivization of salespeople based on programs favoring certain products or features over client interests.
  • Coordinate TPDD on sales partners as required.
  • Main coordinator for Internal Audit Examination, Divisional Quality Assurance Testing, and Divisional Compliance Testing.
  • Perform other tasks and projects assigned by the Chief Compliance Officer.

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