Director Surveillance Market Abuse

Manulife is seeking a motivated, self-starter, to run the Global Surveillance and Market Abuse Program (Part of the E-Communications and Surveillance team). Supporting the legal entity and segment CCO’s the individual will be responsible for building a program to build on our existing model and will work closely with the Compliance Testing Team.

The Market Abuse Compliance Director will lead the development, implementation, and oversight of the company's market abuse compliance program. This role is critical in ensuring that the organization adheres to all relevant regulatory requirements and industry standards related to market abuse, including insider trading, market manipulation, and other prohibited practices. The successful candidate will work closely with various departments to promote a culture of compliance and integrity across the organization.

Position Responsibilities:

• Program Development and Management:

  • Develop and manage the market abuse compliance program, ensuring alignment with regulatory requirements and industry best practices.

  • Design and implement policies and procedures to detect, prevent, and respond to market abuse activities.

• Monitoring and Surveillance:

  • Oversee market surveillance activities to identify potential instances of market abuse.

  • Develop and utilize analytics and monitoring tools to detect suspicious trading activities.

• Regulatory Compliance:

  • Stay abreast of relevant laws, regulations, and industry standards related to market abuse and ensure the organization’s compliance with these requirements.

  • Serve as the primary point of contact for regulatory inquiries and examinations related to market abuse.

• Training and Awareness:

  • Develop and deliver training programs to educate employees on market abuse regulations and the importance of compliance.

  • Promote a culture of compliance and ethical behaviour across the organization.

• Investigations and Reporting:

  • Lead internal investigations into suspected market abuse incidents and coordinate with legal and regulatory authorities as necessary.

  • Prepare and submit reports to senior management and regulatory bodies as required.

• Collaboration and Advisory:

  • Collaborate with legal, risk management, trading, and other departments to ensure comprehensive compliance coverage.

  • Provide expert advice and guidance on market abuse-related matters to stakeholders

• Continuous Improvement:

  • Continuously assess and enhance the market abuse compliance program to address emerging risks and regulatory changes.

  • Implement best practices and innovative solutions to improve the effectiveness of the compliance program.

Recommended Experience:

• Degree in Legal, Finance or a related field

• 5 - 10 years of legal/compliance or similar experience, with a good understanding of global financial markets, products, services, and processes

• Confidence, maturity, and credibility to deliver and present to Senior Executive leadership and business unit leadership teams

• Ability to foster and build relationships, engage, and influence others, work with diverse subject matter experts. Flexible and adaptable when dealing with change with a strong awareness and understanding of cultural diversity.  

• Strong relationship-building skills and ability to influence across all lines of business and at all levels of the Company.

• Proven ability to multi-task and manage competing priorities.

• Excellent presentation and facilitation skills. Work well under pressure.

• High level of self-motivation and keen sense of 'owning' and delivering on project deliverables

Knowledge and Skills:

• Knowledge of the Financial Services Industry, with a specific focus on surveillance / Market Abuse

• Demonstrable understanding of investment instruments and a general knowledge of compliance concepts

• Program management experience in communication and Market Abuse surveillance in the financial services

• Accuracy and high attention to detail – clear and precise report writing skills

• Stakeholder Management – communicates complex and ambiguous topics with clarity and ease; able to interface with different stakeholders at all levels; skilled in both oral and written communication.

• Problem solver and decision maker – effectively leverage internal resource and external industry / market insights to assimilate, synthesize, and recommend solutions for complex challenges; takes ownership to make informed and timely decisions and own implementation of solutions.

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 recruitment@manulife.com.