Compliance Director
1 week ago
The Director, U.S. Retail Compliance, plays a critical leadership role within the John Hancock Chief Compliance Officer's Office (the "CCO's Office"), supporting the compliance programs for Manulife John Hancock Investments and the John Hancock Group of Funds. This position is responsible for providing guidance and execution on global compliance and regulatory risk management initiatives, while maintaining robust oversight of local, SEC registered fund and investment adviser compliance policies, procedures, and testing programs.
This Director collaborates extensively with senior leaders across the firm including Compliance, Legal, Risk, Product, Operations and Technology to ensure compliance is embedded in all aspects of product life cycles, operations and governance. The role also supports the broader compliance framework under Rules 38a-1 and 206(4)-7, including policy governance, testing, and reporting.
Position Responsibilities:
- Provide compliance leadership and strategic guidance on a complex '40 Act registered product platform that includes: Mutual Funds, ETFs, SMAs, and alternative products such as Interval and Tender Offer Funds.
- Support the development, implementation, and oversight of compliance policies, procedures, and testing programs in accordance with Rules 38a-1 and 206(4)-7.
- Prepare and present compliance reports for the Funds' independent Board of Trustees.
- Review complex Fund co-investment transactions for adherence to regulatory requirements
- Assist in the remediation of Adviser and Fund compliance issues.
- Manage Fund-related due diligence inquiries and intermediary engagements.
- Oversee regulatory filings for the Funds and multiple registered investment advisers.
- Perform Fund and Adviser Code of Ethics oversight, monitoring and reporting.
- Collaborate with a team of compliance professionals responsible for internal compliance testing and exception reporting.
- Partner with Legal, Risk and Compliance colleagues to manage corrective action plans and ensure regulatory compliance across all business functions.
- Maintain a project management framework to track and report on compliance, regulatory and technology initiatives.
- Represent Compliance in committees and participate in cross-functional and global initiatives.
- 10+ years of experience in investment operations, compliance, auditing, or regulatory roles within the asset management or mutual fund industry.
- Deep knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940 and related compliance practices.
- Strong understanding of U.S. investment/securities products, operations, and regulatory frameworks.
- Proven ability to lead teams, manage complex projects, and influence senior stakeholders.
- Excellent written and verbal communication skills.
- Proficiency in Microsoft 365 and compliance systems.
- Advanced degree in Accounting, Finance, Business, or a related field.
- Experience with exchange traded and/or alternative products
- Ability to distill key insights into visually appealing formats for leadership and board-level communication
- Strategic leadership and relationship-building skills with cross-functional teams
- 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.
#LI-JH
#LI-Hybrid
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.
Referenced Salary Location
Boston, Massachusetts
Working Arrangement
Hybrid
Salary range is expected to be between
$120,750.00 USD - $217,350.00 USD
If you are applying for this role outside of the primary location, please contact recruitment@manulife.com for the salary range for your location. The actual salary will vary depending on local market conditions, geography and relevant job-related factors such as knowledge, skills, qualifications, experience, and education/training. Employees also have the opportunity to participate in incentive programs and earn incentive compensation tied to business and individual performance.
Manulife/John Hancock offers eligible employees a wide array of customizable benefits, including health, dental, mental health, vision, short- and long-term disability, life and AD&D insurance coverage, adoption/surrogacy and wellness benefits, and employee/family assistance plans. We also offer eligible employees various retirement savings plans (including pension/401(k) savings plans and a global share ownership plan with employer matching contributions) and financial education and counseling resources. Our generous paid time off program in the U.S. includes up to 11 paid holidays, 3 personal days, 150 hours of vacation, and 40 hours of sick time (or more where required by law) each year, and we offer the full range of statutory leaves of absence.
Know Your Rights I Family & Medical Leave I Employee Polygraph Protection I Right to Work I E-Verify
Company: John Hancock Life Insurance Company (U.S.A.)
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