Manager, Investment Compliance

Manulife Financial · Ho Chi Minh City

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The Opportunity 
This role supports MIMV in maintaining compliance with applicable Vietnamese laws and regulations, Manulife policies and internal procedures. The successful candidate will bring a accounting or auditing foundation and will receive structured development to build a long-term career in Compliance. 

Role Summary 

Support the Legal & Compliance function in monitoring regulatory compliance, strengthening internal controls and providing practical compliance advice to the business. The role is intended for a candidate who is committed to developing and growing with MIMV over the long term. 

Key Responsibilities 

• Monitor compliance by business and support functions with applicable laws, regulations, internal policies and procedures, and provide timely and practical advice. 

• Review marketing, advertising, product and client-facing materials from a compliance perspective and coordinate required revisions with relevant stakeholders. 

• Perform Know Your Customer (KYC), customer due diligence and anti-money laundering (AML) reviews, including escalation of unusual or higher-risk matters under applicable requirements and internal procedures. 

• Conduct periodic compliance monitoring and testing, particularly for sales, distribution and marketing activities; document findings and follow up remediation actions. 

• Prepare accurate and timely compliance reports and regulatory filings for management, Group Compliance, competent Vietnamese regulators and relevant industry bodies. 

• Support regulatory licensing, registrations, notifications and ongoing professional qualification or training monitoring applicable to MIMV and its employees. 

• Maintain compliance records, regulatory registers, internal policies, procedures and other controlled documents in an organized and auditable manner. 

• Monitor relevant regulatory developments, assess potential impact on MIMV and support implementation of required changes. 

• Perform other compliance-related duties reasonably assigned in line with the role. 

Required Qualifications, Skills & Experience 

• Accounting or auditing qualification: Bachelor's degree or higher in Accounting or Auditing; or relevant accounting or auditing qualifications or certificates satisfying applicable Vietnamese regulatory requirements. 

• Relevant practical experience: At least one year of practical experience in accounting or auditing, and sufficient relevant professional experience to meet applicable requirements for internal control personnel of a fund management company. 

• Professional experience: Approximately 2-5 years of relevant experience in accounting, auditing, internal control, compliance, risk management or financial services. Candidates with less experience but a strong compliance foundation and demonstrated learning agility may be considered at an appropriate grade level. 

• Career commitment: Strong interest in building a long-term career in Compliance and willingness to complete structured training and development provided by MIMV and the Regional Compliance team. 

• Technical capability: Ability to review documents, financial information and operational processes carefully, identify control or compliance risks and communicate practical recommendations. 

• Professional attributes: High integrity, sound judgement, attention to detail, accountability and willingness to speak up. 

• Execution: Ability to work independently, take initiative, manage competing priorities and meet deadlines. 

• Stakeholder management: Strong organization, documentation and communication skills, with the ability to collaborate effectively across functions. 

• English: intermediate English proficiency, with the ability to read and understand routine business documents and communicate in day-to-day work situations 

• Digital skills: Proficiency in Microsoft Office applications, willingness to learn and use new industry-specific applications. 

Required Qualifications 

• Bachelor’s degree or higher in Accounting or Auditing; or relevant accounting or auditing qualifications or certificates satisfying applicable Vietnamese regulatory requirements. 

• At least one year of practical experience in accounting or auditing, together with sufficient relevant professional experience, to meet the applicable requirements for internal control personnel of a fund management company. 

• Possession of, or commitment to obtain within an agreed period after joining, one of the qualifications or certificates required under applicable Vietnamese regulations for internal control personnel of a fund management company, including: 

• CFA Level II or above; or 

• CIIA Final Level; or 

• A relevant securities professional licence; or an asset management licence issued in an OECD member country; or both the “Fundamentals of Securities and Securities Markets” certificate and the “Laws on Securities and Securities Markets” certificate. 

Preferred Qualifications 

• Experience in external audit, internal audit, accounting, financial control or internal control, preferably within asset management, securities, banking, insurance or another regulated financial institution. 

• Additional academic or professional background in Compliance, Risk Management, Finance, Banking, Securities or Law. 

• Knowledge of Vietnamese regulations relating to securities, fund management, AML/KYC, accounting or internal controls. 

• Experience supporting regulatory filings, compliance monitoring, audits, internal reviews or regulatory inspections. 

What Motivates You 

• You put customers at the centre, listen carefully and act in their best interests. 

• You think broadly, remain curious and use an agile mindset to enable business outcomes. 

• You collaborate effectively and enjoy achieving results as part of a team. 

• You take ownership, focus on what matters and develop practical solutions. 

• You act with integrity, do what is right and speak up. 

• You help build a diverse, inclusive and respectful work environment. 

Our Commitment to You 

• Our mission to make decisions easier and lives better. 

• A leadership team committed to your growth and success. 

• Structured training and development to support your transition into and long-term development in Compliance. 

• Opportunities to contribute to the transformation of our industry and bring your best every day. 

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 hr@manulife.com.

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