Senior Compliance Manager

Reporting to the AVP Chief Compliance Officer the Compliance Manager is a member of the Global Wealth and Asset Management (GWAM) U.S. Retail & Wealth Compliance Team. The role supports compliance oversight and advisory activities across U.S. Retail & Wealth businesses products distribution channels legal entities and strategic initiatives.

The Senior Compliance Manager partners closely with business stakeholders and control functions to provide practical compliance guidance identify and mitigate regulatory risks and support adherence to applicable laws regulations and internal policies. The role contributes to the administration and execution of the compliance program and helps foster a strong culture of compliance throughout the organization.

This position operates in a dynamic environment where business priorities regulatory requirements and organizational needs will evolve over time. As a result specific areas of responsibility may change based on business needs departmental priorities and regulatory developments.

Position Responsibilities:

Compliance Advisory and Business Support

• Provide compliance guidance and support to assigned business units legal entities products services or strategic initiatives.
• Partner with business stakeholders to identify regulatory risks and develop practical risk-based solutions.
• Support new product process technology and business initiatives by identifying and addressing applicable compliance requirements.
• Serve as a compliance resource on a variety of matters including customer complaints issue management due diligence activities trade errors supervisory matters and other regulatory concerns as applicable.

Compliance Program Administration

• Support the administration and enhancement of the compliance program policies procedures and controls designed to meet applicable regulatory requirements and internal standards.
• Assist with the execution of compliance monitoring testing and risk assessment activities.
• Monitor regulatory and industry developments and assist in evaluating their impact on business operations policies and procedures.
• Support compliance program activities such as employee training certifications disclosures and related compliance obligations as assigned.

Regulatory and Governance Support

• Assist with the preparation of compliance reporting and management information for governance committees senior management and other stakeholders.
• Support regulatory examinations audits inquiries and internal reviews including coordinating responses and tracking remediation activities.
• Assist in maintaining documentation necessary to demonstrate compliance with applicable regulatory requirements.

Compliance Reviews and Cross-Functional Support

• Partner with Legal Risk Management Audit Operations Technology Marketing Product and other business functions to support compliance objectives.
• Participate in enterprise segment or departmental compliance initiatives and projects as assigned.

Required Qualifications:

• 5-8 years of experience in compliance legal audit risk management or related functions within the financial services industry.
• Knowledge of regulatory requirements applicable to financial services organizations including investment advisory broker-dealer insurance retirement or related businesses.
• Ability to interpret regulatory requirements and apply them to business activities in a practical and risk-based manner.
• Strong analytical organizational and problem-solving skills.
• Ability to manage multiple priorities in a fast-paced and evolving environment.
• Excellent verbal and written communication skills.
• Strong interpersonal skills and the ability to build effective partnerships across business and control functions.

Preferred Qualifications:

• Experience supporting registered investment advisers broker-dealers wealth management retirement insurance or digital financial services businesses.
• Familiarity with the Investment Advisers Act of 1940 and related state and federal regulatory requirements.
• Experience supporting product development technology initiatives or Agile project environments.
• Knowledge of ERISA retirement plans privacy anti-money laundering or related regulatory frameworks.

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.

The role being advertised is an existing vacancy.

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

Employees also have the opportunity to participate in incentive programs and earn incentive compensation tied to business and individual performance. 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. If you are applying for this role outside of the primary location please contact for the salary range for your location.

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.

We use data and analytics technologies such as artificial intelligence (AI) and automated processing tools to analyze and process the information you provide to us or third parties in the application process. For more information please refer to our personal information collection statement.

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