Compliance Director

Are you looking for a supportive, collaborative workplace with great teams and inspiring leaders? You’ve come to the right place. We’re looking for ambitious people who share our values and want to make every day better for people around the world. If this sounds like you, and the career below sounds exciting, we’d like to hear from you. Working Arrangement Hybrid Job Description The Broker-Dealer Compliance Department is responsible for the oversight of the compliance program for John Hancock Distributors LLC (JHD) and John Hancock Investment Management Distributors LLC (JHIMD). 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. JOB FUNCTION Reporting to the Chief Compliance Officer (CCO), the Compliance Director is primarily responsible for leading the Registration Team, registration processes, and assisting the CCO in the daily operation of the Broker Dealer Compliance Department supporting the distribution broker dealers JHD and JHIMD. The incumbent will also act as team leader for the Broker Dealer Compliance team. Duties include but are not limited to: Lead the Registration Team and handle the registration program for the broker dealers and the registered employees associated with the broker dealers including: Annual registration renewal. Initial registrations, registration updates and terminations. (Forms U4, U5, BD, and BR) Draft and file waiver requests. Manage and respond to FINRA and State registration related inquiries. Provide mentorship and training to the Broker Dealer Compliance team: Ensure consistent application of internal department processes and broker dealer procedures. Training for Compliance team related to new or amended regulation and changes to broker dealer policy. Provide technical expertise and feedback for general broker dealer/sales practice inquiries. Assess and integrate, where possible, Department databases for the distribution broker dealers. Look for opportunities of efficiencies for department processes. Contribute and assist with reporting. In conjunction with the CCO, accountable for the development, coordination and maintenance of all compliance, regulatory and risk management procedures Run the electronic communications review system and process, including developing training materials and procedures. Supervise new and amended FINRA, SEC, MSRB and other regulatory authority regulations for impact to the distribution broker dealers and ensure timely an accurate implementation across business lines within the distribution broker dealers. Monitor, maintain, review and assist team with broker dealer’s written supervisory procedures and supervisory controls to ensure procedures/controls are current and relevant. Monitor, review and amend, as vital, annual procedures/controls testing and liaise with U.S. Segment Compliance on execution of annual testing. Develop and coordinate responses to internal and external audits, Assist with and respond to regulatory audits and inquiries. Coordinate and run all broker dealer Compliance Program activities such as continuing education training, internal filings and risk assessments, and periodic regulatory filings. Handle complaint tracking and reporting, in coordination with CCO and Legal Counsel. Assist with vendor management, compliance system implementations, and ongoing improvements/updates. Act as firm’s Super Account Administrator for the FINRA Gateway system. Participate in special projects from time to time as the need arises by CCO. Proficiencies/Requirements: The ideal candidate will have a minimum of 8 years of broker dealer compliance or financial services management experience Series 6 or 7 and 24 or 26 required. A Series 6 and 26 candidate will be required to acquire Series 7 within 6 months of date of hire and the Series 24 within 12 months of date of hire Must have extensive knowledge and understanding of broker dealer securities regulation (investment adviser/investment company a plus) and broker dealer operations Must have 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 a team oriented, self starter who possesses a keen attention to detail, organization skills, excellent written and oral communications capabilities and be able to meet specific deadlines. What can we offer you? A competitive salary and benefits packages. A growth trajectory that extends upward and outward, encouraging you to follow your passions and learn new skills. A focus on growing your career path with us. Flexible work policies and strong work-life balance. Professional development and leadership opportunities. Our commitment to you Values-first culture We lead with our Values every day and bring them to life together. Boundless opportunity We create opportunities to learn and grow at every stage of your career. Continuous innovation We invite you to help redefine the future of financial services. Delivering the promise of Diversity, Equity and Inclusion We foster an inclusive workplace where everyone thrives. Championing Corporate Citizenship We build a business that benefits all partners and has a positive social and environmental impact. #LI-Hybrid #LI-JH Every career at Manulife/John Hancock provides the opportunity to learn new skills and move your career forward. Ready to make an impact somewhere? What are you waiting for? Apply today. About John Hancock and Manulife John Hancock is a unit of Manulife Financial Corporation, a leading international financial services group that helps people make their decisions easier and lives better. We operate primarily as John Hancock in the United States, and Manulife globally, including Canada, Asia and Europe. We provide financial advice, insurance and wealth and asset management solutions for individuals, groups and institutions. Assets under management and administration by Manulife and its subsidiaries were CAD$1.3 trillion (US$1.1 trillion) as of June 30, 2021. Manulife Financial Corporation trades as MFC on the TSX, NYSE, and PSE, and under 945 on the SEHK. Manulife can be found at manulife.com. One of the largest life insurers in the United States, John Hancock supports more than 10 million Americans with a broad range of financial products, including life insurance, annuities, investments, 401(k) plans, and education savings plans. Additional information about John Hancock may be found at johnhancock.com. Manulife 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 recruitment@manulife.com. Salary & Benefits The annual base salary for this role is listed below. Primary Location Boston, Massachusetts Salary range is expected to be between $111,900.00 USD - $201,420.00 USD If you are applying for this role outside of the primary location, please contact recruitment@manulife.com 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 I Pay Transparency Company: John Hancock Life Insurance Company (U.S.A.) This is a values-led organization where people bring their passions, ambitions, and the full scope of their life experience to work. This makes for a stronger community, culture, and business. Individually and collectively, we are harnessing our potential, and exploring new opportunities we’d never imagined. We're consistently recognized as a top employer. We offer work that challenges and makes a difference within a flexible and supportive environment, so you can help make decisions easier and lives better for our customers. Recent Awards include: Forbes 2020 World’s Best Employers Greater Toronto's Top Employers 2020 Canada’s Top Employers for Young People 2020 Canada’s Best Diversity Employers 2020 For Manulife/John Hancock’s most recent jobs sent directly to your inbox, please create an account/ sign in and click on ‘Job Alerts’ in the top right corner of the page to sign up.

Salary : $1 - $111,900