Compliance Analyst

MIM E is the UK based asset management office for Manulife Global Wealth and Asset Management (GWAM). MIM E is hiring an Investment Compliance Analyst to support the EMEA Compliance Team in a fast-paced and dynamic environment. The successful candidate will report to a Manager who will in turn report to the CCO for MIM Europe. Candidates should have approximately 3 years of experience in an Asset Management Compliance function, ideally with a broad range of experience across FCA rules and regulation, UCITS, MIFID, fixed income, derivatives, and equity.  

MIM EMEA currently consists of four offices based in London, Ireland, Switzerland, and Germany. With the support of the CCO and Compliance Manager, the successful candidate will need to develop relationships and influence broadly across multiple stakeholders to provide regular advice to the business. The candidate should be self-starting with the ability to research and develop compliance solutions as well as engage with compliance colleagues and stakeholders globally. 

Position Responsibilities:

Investment Compliance

• Pre-trade guideline monitoring and Post Trade escalation review & response

• Implement and maintain compliance coding and rules built within the order management system (OMS)

• Eligible Investments Advisory

• Periodic reviews and testing (ie. Market Abuse, Order Allocation, E-comm surveillance and other testing processes)

• Participate in account onboarding process – review, interpretation, and construction of investment guidelines, regulatory requirements, and other compliance rules into our internal trading system

• Code of Ethics Advisory

• Breach management advisory and support of resolution groups

Other responsibilities

• Assisting with the production of regular compliance internal and external reporting

• Supporting general compliance administration and ongoing BAU activity, e.g. regular scheduled tasks

• Assisting in the production of board and operating committee reports as necessary

• Supporting key Compliance projects and business initiatives

• Supporting the development and implementation of EMEA compliance monitoring programme working with colleagues on ad-hoc Compliance monitoring reviews covering a broad range of topics as required

• Assisting in the review and updating of Compliance policies, procedures, and communications to the business

Required Qualifications:

• 3 years of relevant industry experience, depending on background

• Educated to degree level with a strong academic background

• Legal background an advantage

• IMC, Diploma in Investment Compliance or equivalent an advantage, or willing to obain

• Understanding of FCA, Irish and Luxembourg UCITS and UK MIFID rules and regulations

Preferred Qualifications:

• General understanding of European regulation and regulatory environment

• Understanding of US and Canadian mutual fund regulation desirable

• Knowledge of equity, fixed income, currency and complex securities, including derivatives

• Experience with compliance rule coding in OMS is desirable but not necessary

• Experience with Bloomberg, Aladdin or Charles River is preferred

• Excellent interpersonal and communication skills, both written and verbal

• Articulate, precise with attention to detail

• Ability to multi-task, prioritise and work well under pressure

• Ability to arbitrate and resolve conflicts between internal and/or external stakeholders

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 where 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].