Head of Operations, Personal Investing

The Opportunity:

The Head of Operations Personal Investing is a senior executive responsible for the overall operational strategy execution and risk management of the firms broker-dealer and RIA businesses. This role oversees day-to-day operations ensures regulatory compliance drives process efficiency and partners with executive leadership to support sustainable growth strong client service and a robust control environment.

The Head of Operations Personal Investing will be a key member of the leadership team working closely with functional leaders. and business line leaders to align operations with the firms strategic objectives

Position Responsibilities:

Operational Leadership
Provide strategic and hands-on leadership of all operational functions supporting the broker-dealer and RIA including:

• Trade operations and processing
• Client onboarding and account maintenance
• Custody and clearing relationships
• Middle- and back-office operations
• Data reporting and operational analytics
• Design implement and continuously improve operating models workflows and procedures that support: Scalability and efficiency High-quality client and advisor experience Strong control and supervision frameworks
• Lead cross-functional initiatives to streamline processes reduce operational friction and improve turnaround times accuracy and service levels.
• Oversee vendor and service provider relationships (custodians clearing firms technology providers outsourcing partners) to ensure performance SLAs and cost-effectiveness.

Risk Management & Controls
Own and enhance the operational risk management framework for both the broker-dealer and RIA entities including:

• Identification assessment and mitigation of operational reputational and conduct risks
• Development and monitoring of key risk indicators (KRIs)

Ensure robust internal controls across:

• Trading and order handling
• Client money and asset handling
• Reconciliations breaks and exception management
• Supervisory and surveillance processes
• Partner with Compliance Legal and Audit to Prepare for and respond to regulatory examinations and inquiries and address audit findings and implement corrective actions. You will also conduct periodic risk assessments and control testing
• Lead incident management and root-cause analysis for operational errors service disruptions and near misses; drive corrective and preventive actions.
• Maintain and periodically test business continuity and disaster recovery plans.

Regulatory & Compliance Partnership

• Collaborate closely with the Chief Compliance Officer (CCO) to ensure operations support full compliance with SEC FINRA and state securities regulations Investment Advisers Act of 1940 and applicable SRO rules and firm policies
• Ensure operational processes are aligned with written supervisory procedures (WSPs) compliance manuals and code of ethics.
• Oversee the operational components of trade surveillance and supervision support books and records retention and integrity an reporting (e.g. trade reporting regulatory filings support)
• Stay current on regulatory changes impacting operations and proactively update processes systems and training.

Strategic Planning & Execution
Partner with the business head and leadership team to define and execute the strategic plan including:

• Scaling the platform and onboarding new advisors
• Launching new products services and platforms
• Expanding into new client segments or geographies

Develop and manage the operations budget including:

• Headcount/resource planning
• Technology and systems investments
• Vendor and outsourcing strategy

Use data and analytics to:

• Track KPIs across operations and service delivery
• Inform decision-making and resource allocation
• Identify trends risks and opportunities

Technology & Process Improvement

• Oversee core operational technology platforms including: Order management and trade processing systems portfolio accounting and performance reporting and CRM client portals and advisor workstations
• Champion automation digitization and straight-through processing (STP) to reduce manual touchpoints and error rates improve scalability and cost efficiency and enhance client and advisor experience
• Lead or sponsor major system implementations integrations and upgrades ensuring strong change-management and user adoption.

Leadership & Culture

• Build lead and develop a high-performing operations team with clear goals and accountability professional development and cross-training and a culture of ownership transparency and continuous improvement
• Foster strong collaboration and communication across the following Operations Trading Compliance Legal Finance Technology and Sales/Advisory teams
• Promote a culture of risk awareness ethical behavior and regulatory compliance at all levels of the organization.

Required Qualifications:

• Bachelors degree preferably in Business Finance Economics Accounting or a related field or equivalent experience.

• Minimum 1215 years of progressive experience in financial services operations with significant experience within a broker-dealer and/or RIA environment (preferably both).

• At least 710 years in leadership roles managing multi-functional operations teams.

• Demonstrated track record of: Building or scaling operational infrastructure in a regulated environment. leading risk management and control initiatives

• Working directly with regulators auditors and examiners (e.g. SEC FINRA

• FINRA 7 24 63/65/66

• Other relevant designations a plus (e.g. CFA CFP CAIA FRM PRM PMP).

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.

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.

Know Your Rights I Family & Medical Leave I Employee Polygraph Protection I Right to Work I E-Verify