Managing Director and Chief Compliance Officer—Manulife Investment Management Private Markets Registered Funds and CQS (US), LLC

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Job Description:

Based in New York City or Boston the role of Chief Compliance OfficerManulife Investment Management Private Markets Registered Funds and CQS (US) LLC has the following two principal responsibilities.

Responsible for the design and management of a SEC Rule 38a-1 compliance program for two registered investment companies a business development company and future private markets funds regulated under the Investment Company Act of 1940 (the RICs). The RICs currently invest in privately originated middle market senior loans and US commercial mortgage real estate loans.

Responsible for the design and management of a SEC 206(4)-7 compliance program for CQS (US) LLC (CQS (US)). CQS (US) provides investment management services to certain privately offered onshore and offshore pooled investment vehicles investing in alternative credit including asset-backed securities investment grade and high yield corporate credit (including senior secured loans and convertible bonds) and equities.

Addition to reporting to the Global Chief Compliance OfficerManulife Investment Management Private Markets and Manulife General Account Investments the person will also report to external boards of trustees of the RICs as well as the Global Chief Compliance OfficerCQS.

Responsibilities:

Manulife Investment Management Private Markets 38a-1 Compliance Program

• Responsible for the adoption implementation testing and oversight of each RICs 38a-1 compliance program as well as supporting the associated investment adviser SEC Rule 206(4)-7 related compliance program elements.
• Conduct required reviews of the RICs and their service providers policies and procedures to ensure they adequately address legal obligations as well as existing and potential risks and conflicts of interests associated with the operation of the RICs reviews will include compliance-related due diligence activities.
• Conduct manual pre-transaction compliance reviews and analysis of commercial mortgage loan and senior loan transactions for compliance with the terms of each RICs investment guidelines the firms SEC 17(d) co-investment exemptive order and Investment Company Act requirements.
• Prepare quarterly and annual compliance-related reporting and updates to various constituencies including the boards of each RIC Manulife management and various investment adviser oversight governance committees.
• Work closely with law compliance finance operations and portfolio management functions to develop document and administer policies and procedures to assure they are (and continue to be) reasonably designed to prevent detect and promptly correct violations of the federal securities laws by the RICs and its service providers.

CQS US 206(4)-7 Compliance Program

• Provide compliance leadership and manage a sound Rule 206(4)-7 compliance program for CQS (US) including testing management of regulatory examinations training conflict management and regulatory filings. CQS (US) currently provides discretionary and non-discretionary investment services to certain privately offered pooled investment vehicles under the laws of (among others) the Cayman Islands Delaware and Ireland. Certain sub-advisory services are provided to registered investment companies.
• Work closely with executive management legal and portfolio management functions to proactively address private transaction and capital position potential conflicts of interest.

Support Corporate and Other Compliance Initiatives

• Provide compliance leadership and support for ad hoc and regular Manulife/CQS corporate and compliance initiatives including policy development oversight committee management internal investigations and training development.

Job Requirements:

• A senior compliance leader with investment management experience practical commercial instincts and a demonstrable track record of working successfully with investment operations finance legal and compliance professionals as well as executive leadership and boards of directors.
• Substantial experience providing compliance and/or legal support to one or more of the following investment programs direct commercial mortgage lending asset-backed securities investment grade and high yield corporate credit (including senior secured loans and convertible bonds) and/or equities.
• Strong SEC regulatory experience and an understanding of interplay of US investment management requirements with foreign regulatory regimes in order to deliver practical cross-border regulatory compliance solutions. Experience interacting with regulators auditors and fund service providers (including experience with regulatory examinations).
• Comfortable managing highly complex compliance matters with minimal supervision and ability to anticipate monitor and manage compliance risks resulting from various investment activities.
• A minimum of 10 years of substantial experience developing executing or supporting an Investment Advisers Act 206(4)-7 and/or Investment Company Act 38a-1 compliance program/s. Regulated business development company experience a plus but not required. Additional experience with SEC Rule 17(d) exemptive co-investment orders also a plus.
• Familiarity with cross-border distribution issues.
• Depending on location of hire (New York City or Boston) regular travel to Boston or New York City will be required to oversee direct reports and local compliance activities.
• Experience in handling regulatory/compliance matters related to CFTC-licensed commodity pool operators. Experience in a principal role with the National Futures Association is also a plus.

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 well-being and inclusion are more than just words.
• As part of our global team well support you in shaping the future you want to see.

At Manulife/JohnHancock we embrace our diversity. We strive to attractdevelopandretaina 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 retentionadvancement and compensation and we administer all of our practices and programs without discrimination on the basis of race ancestry place of origincolour 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.

This job description is not a comprehensive listing of all job duties required for this role. We reserve the right to change these duties or assign additional duties at any time with or without notice.

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 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 .

Referenced Salary Location

Salary range is expected to be between

If 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 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.

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