Head of Legal & Compliance

Key Responsibilities:

Legal

• Provide strategic legal advice to management on business initiatives, products, investment activities, distribution arrangements, outsourcing arrangements and corporate governance matters.
• Review, draft, negotiate and advise on contracts, agreements and other legal documentation relating to the Company’s business activities.
• Lead the management of legal disputes, litigation, regulatory inquiries and external counsel relationships.
• Provide legal support for new products, strategic projects, corporate transactions and other material business initiatives.
• Identify, assess and manage legal risks arising from the Company’s activities and advise management on appropriate mitigation strategies.
• Ensure compliance with corporate governance requirements, including maintenance of statutory records, corporate documents, approvals and governance-related filings.

Compliance

• Establish and oversee the Compliance Monitoring Plan (Internal Control Plan) and compliance testing programs to assess adherence to regulatory requirements, corporate governance standards and internal policies.
• Oversee investment compliance monitoring, coding and surveillance activities to ensure compliance with investment mandates, applicable regulations and investment management agreements.
• Oversee distribution compliance activities, including compliance oversight of fund distribution arrangements, sales and marketing activities, distributor governance and conduct risk, ensuring compliance with applicable regulations, investment mandates, contractual obligations and internal policies.
• Oversee AML/CFT, sanctions, anti-bribery and corruption, conflicts of interest, personal trading, gifts and entertainment, market conduct and privacy compliance programs.
• Act as the primary liaison with regulators and internal/external auditors, leading regulatory inspections, audits and remediation activities as well as regulatory filings.
• Maintain effective engagement with Regional Compliance, including reporting, escalation of material compliance matters and implementation of regional compliance initiatives.
• Lead the regulatory change management process, including assessing regulatory developments, conducting impact analyses and overseeing implementation of required changes across the business.
• Investigate compliance incidents, regulatory breaches and control failures, and recommend corrective actions and remediation plans.
• Develop and deliver compliance training and awareness programs to promote a strong culture of compliance, integrity and ethical conduct.

Risk Management

• Act as the Second Line of Defense for regulatory compliance risk oversight.
• Assess emerging legal, regulatory and conduct risks and advise management on appropriate mitigation strategies.
• Lead and support enterprise risk management activities relating to legal, compliance, regulatory and operational risks.
• Facilitate enterprise risk assessments and support the identification, assessment, monitoring and mitigation of key business and operational risks.
• Support business continuity, operational resilience and regulatory risk management initiatives.

Regulatory and Governance Responsibilities

• Serve as Head of Internal Control and oversee the effectiveness of the Company's internal control framework and related regulatory reporting obligations.
• Serve as Chairman of the Risk Management Committee and ensure fulfillment of risk governance and regulatory reporting obligations as required by local regulations.
• Act as Secretary to, or provide advisory support for, governance committees as required.
• Serve as the AML/CFT Officer and oversee the Company's AML/CFT and sanctions compliance framework, including fulfillment of all regulatory reporting and governance requirements under applicable local regulations.
• Serve as the Privacy Officer and oversee the Company's privacy and personal data protection framework, ensuring compliance with applicable data protection laws, regulatory requirements and privacy governance obligations.

Required Qualifications

• Bachelor’s Degree or higher in Law. Qualified Lawyer is preferred.
• Possess the two mandatory securities professional certificates required by applicable regulations, namely: Certificate of Basic Securities Market; and Certificate of Basic Securities Law issued by the State Securities Commission of Vietnam.
• Have at least two (2) years of experience working in professional business functions at a fund management company, securities company, credit institution, insurance enterprise, audit firm, or a state regulatory authority in the fields of finance, banking, insurance, securities, or auditing.
• At least 10 years of relevant experience in legal, compliance, regulatory affairs within the financial services industry. Minimum 5 years of management experience.
• Strong experience working with asset management companies, securities firms, banks, insurance companies or other regulated financial institutions.
• Deep understanding of securities, investment funds, corporate governance, AML/CFT, privacy, and financial services regulations.
• Experience dealing with regulators and senior stakeholders

Knowledge/Skills/Competencies:

• Strong knowledge of Vietnamese laws and regulations governing investment management, securities and investment funds.
• Strong knowledge of the investment management industry and international financial markets, including equities and fixed income products.
• Strong understanding of compliance frameworks, regulatory risk management and governance practices.
• Ability to identify, assess and mitigate legal and regulatory risks.
• Strong drafting and negotiation skills in both English and Vietnamese.
• Strong stakeholder management and influencing skills.
• Excellent analytical and problem-solving capabilities.
• Ability to manage multiple priorities and work under pressure.
• Strong presentation and communication skills.
• Strong leadership and people management skills.
• Advanced proficiency in Microsoft Office applications.

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].

In Office