Compliance Specialist
Compliance Specialist
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Job Description
Reporting to the Compliance Director the Compliance Specialist is a dynamic and multifaceted role. This position is primarily responsible for electronic communications monitoring and oversight for our U.S. based brokerdealers. Additionally the roleserves as a primary contact for regulator interactions and coordinates and supports the AML Privacy Records Management and Business Continuity programs.
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.
PositionResponsibilities:
Provide regular oversight of the broker dealers electronic communications regulatory archive system Global Relay. Act as a subject matter authority on correspondence content for reviewers and business partners and ensure proper surveillance controls.
Facilitate the quarterly complaint review process with business unit partners and Compliance Director to determine applicability and actions pursuant to regulatory reporting requirements.
Coordinate regulatory examinations of the BrokerDealers and take a lead role on responding to regulatory inquiries.
Serve as the Coordinator for the Compliance Department overseeing Privacy and the review and maintenance of corresponding policies and procedures AntiMoney Laundering (AML) compliance Business Continuity and records management in accordance with John Hancocks Records Management Program.
Provide compliance reporting to the Compliance Director Chief Compliance Officer(s) and Global Compliance Office.
Required Qualifications:
The ideal candidate will have 3 years of brokerdealer compliance experience or comparable financial services industry experience.
The candidate must have a base knowledge and understanding of brokerdealer securities regulation (investment adviser/investment company a plus) and brokerdealer operations.
College/University degree or relevant work experience.
The ideal candidate will be both a selfstarter and a team player.
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.
Demonstrates strong written and verbal communication skills.
Technologically proficient with experience working with AI tools Risk Management 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.
Preferred Qualifications:
FINRA licenses to include Series 6 7 26 and/or 24 preferred but not required.
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 .
Referenced Salary Location
Boston MassachusettsWorking Arrangement
Salary range is expected to be between
$60375.00 USD $100625.00 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:
Unclear Seniority
Employment Type
Full-Time
