Senior Compliance Consultant
Senior Compliance Consultant
Employer Active
Job Alert
You will be updated with latest job alerts via email
Share
Job Alert
You will be updated with latest job alerts via email
Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
This is an exciting opportunity for a candidate to join a department that is critical to supporting the oversight of the compliance programs for John Hancock Distributors LLC (JHD) John Hancock Investment Management Distributors LLC (JHIMD) Manulife John Hancock Brokerage Services LLC (MJHBS) and John Hancock Personal Financial Services LLC (JHPFS).
JHD and JHIMD are wholesale broker dealers that underwrite and distribute several John Hancock securities related products including investment company offerings 529 College Savings Plan and variable contract insurance products. MJHBS is a retail BrokerDealer approved to engage in private placements mutual funds and variable life and annuities equities municipals (529 plans) options corporate debt and U.S. Governments. JHPFS is a Registered Investment Adviser involved in developing and bringing to market digital advice product solutions to assist investors in managing their investments and personal financial goals.
Reporting to the Compliance Director the Senior Compliance Consultant is a dynamic and multifaceted role. This position is primarily responsible for developing and executing a comprehensive training and development program for our U.S. based brokerdealers. Additionally the role will lead our risk assessment efforts to drive compliance testing and monitoring priorities and serve as the primary compliance support for distribution efforts related to private placement offerings.
This role is crucial in supporting Manulifes U.S. based brokerdealers playing an integral part in achieving the overall strategic priorities initiatives and goals of the GWAM US Retail Compliance team.
Position Responsibilities:
Develop and implement the U.S. brokerdealer training and education program including the Annual Compliance Certification Annual Compliance Meeting and Firm Element Continuing Education sessions. This involves a consideration of emerging regulatory risks and best practices to reinforce a culture of compliance and ethics.
Lead the ongoing assessment of inherent regulatory risksapplicable to our businesses and evaluate the strength of corresponding controls. This will drive compliance testing and monitoring priorities and inform the development of additional policies and procedures.
Provide knowledgeable interpretation and analysis in consultation with legal counsel on regulatory mattersaffecting the distribution of private placements. This includes evaluating new initiatives distribution strategies and control activities.
Support the administration of policies and proceduresdesigned to identify assess communicate manage and mitigate regulatory risks thereby reducing the risk of noncompliance.
Monitor the regulatory environment to assess risks applicable to our business and advise on the impact to policies and procedures.
Provide compliance reporting to the Compliance Director Chief Compliance Officer(s) and Global Compliance Office.
Coordinate regulatory examinations of the BrokerDealers and assist as needed with responses to regulatory inquiries.
In conjunction with the Compliance Director be responsible for the administration maintenance and relationships with third party vendor solutions used by the Department.
Required Qualifications:
The ideal candidate will have 5 years of brokerdealer compliance experience or comparable financial services industry experience.
The candidate must have extensive knowledge and understanding of broker dealer securities regulation (investment adviser/investment company a plus) and broker dealer operations as well as an understanding of investments securities markets and securities distribution methods as evidenced by educational background experience background and/or FINRA licenses.
The ideal candidate will be both a selfstarter and a teamplayer.
Capable of managing multiple tasks simultaneously.
Demonstrate a flexible mindset and show resiliency when faced with setbacks and challenges.
Possess excellent organizational skills with a disciplined approach to their work.
Demonstrate strong written and verbal communication skills.
Is technologically proficient with experience working with AI tools Risk Management and Learning Management System (LMS) platforms SharePoint sites and Microsoft O365.
Exhibits strong analytical and problemsolving skills.
Possess a strong ethical compass that is aligned with the companys values.
Displays a desire to learn and be a continuous learner.
Prefers a collaborative work environment and embraces a hybrid work arrangement.
Ability to work collaboratively with crossfunctional teams and internal business partners and stakeholders.
Series 7 and Series 24 licenses preferred.
When you join our team:
Well empower you to learn and grow the career you want.
Well recognize and support you in a flexible environment where wellbeing and inclusion are more than just words.
As part of our global team well support you in shaping the future you want to see.
#LIHybrid
#LIJH
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 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 pregnancyrelated 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 .
Primary Location
Boston MassachusettsWorking Arrangement
Salary range is expected to be between
$90225.00 USD $162405.00 USDIf you are applying for this role outside of the primary location please contact for the salary range for your location. The actual salary will vary depending on local market conditions geography and relevant jobrelated 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 longterm 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 EVerify I Pay Transparency
Company: John Hancock Life Insurance Company (U.S.A.)Required Experience:
Senior IC
Employment Type
Full-Time
