Compliance Consultant

We are a leading financial services provider committed to making decisions easier and lives better for our customers and colleagues around the world. From our environmental initiatives to our community investments, we lead with values throughout our business. To help us stand out, we help you step up, because when colleagues are healthy, respected and meaningfully challenged, we all thrive. Discover how you can grow your career, make impact and drive real change with our Winning Team today.

Job Description

About The Role:

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 such as Mutual Funds, 529 College Savings Plans and Variable Life Insurance products.

Reporting to the Chief Compliance Officer of JHD/JHIMD the Compliance Consultant is responsible for multiple roles including maintenance and review of written supervisory procedures and internal John Hancock compliance reporting system (Archer); Records Coordinator for Compliance Department records; oversight of the electronic communications regulatory archive system and act as Privacy Coordinator for the Compliance Department.

In addition, the Compliance Consultant will be integral to the improvement of policies, procedures and processes of the business divisions using the broker-dealers, as well as identifying efficiencies and assisting in the implementation of the changes with the applicable business unit(s). Further, the role will be relied upon as a subject matter expert for records retention for internal business partners.

Responsibilities

• Monitor, maintain and review 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 Compliance Director, CCO and U.S. Division Compliance on execution of annual testing.
• Monitor, review and amend, as vital, the John Hancock’s internal regulatory reporting system (Archer) and prepare required periodic reports. This responsibility id performed in coordination with business partners, the Compliance Director, CCO and U.S. Division Compliance.
• Oversight of the broker dealer’s electronic communications regulatory archive system, Digital Safe/S6. This includes review and update of the archive and supervision lists, controlling system access requests and acting as subject matter authority on correspondence content for reviewers and business partners.
• Records Coordinator for the Compliance Department maintaining records inventories and procedures in accordance with John Hancock’s Records Management Program.
• Coordinate quarterly complaint review with business unit partners and Compliance Director to determine applicability to regulatory reporting requirements.
• Privacy Coordinator for Compliance Department and applicable business areas responsible for review and maintenance of Written Information Security Policy (WISP).
• Anti-Money Laundering (AML) Coordinator for Compliance Department.
• Other assignments, as needed, by CCO

Recommended Experience

• At least three years of experience in the financial industry, experience in a Compliance role an asset.
• Team oriented, self-starter who possesses a keen attention to detail, excellent written and oral communications skills and ability to meet specific deadlines
• Proficient knowledge and understanding of securities regulations, as well as an understanding of investments and, securities markets as evidenced by educational background, experience and/or FINRA licenses.
• Experience with quality control review, internal or external audit or examinations an asset
• College/University degree or relevant work experience

Knowledge and Skills

• Series 6 or 7 required; Series 24 or 26 preferred. Series 24 or 26 required within 6 months of hire.
• College/University degree or relevant work experience.
• Team oriented, self-starter who possesses a keen attention to detail, excellent written and oral communications skills and ability to meet specific deadlines.
• Proficient knowledge of FINRA, SEC and state regulatory requirements, as well as an understanding of securities markets and investments.
• Ability to identify, evaluate and make recommendations with respect to control, policies and procedure deficiencies.
• High level of technical and analytic skills.
• Attention to detail and accuracy of work. Ability to influence others.
• Proficient in Microsoft Office; Word, Excel, SharePoint and PowerPoint.

What can we offer?

• A competitive salary and benefits packages.
• A growth trajectory that extends upward and outward, encouraging pursuit of professional 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:

• Values-first culture
  We lead with our Values every day and bring them to life together!
• Boundless opportunity
  We build 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 work environment 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

About Manulife and John Hancock

Manulife Financial Corporation is a leading international financial services group that helps people make their decisions easier and lives better. With our global headquarters in Toronto, Canada, we operate as Manulife across our offices in Asia, Canada, and Europe, and primarily as John Hancock in the United States. We provide financial advice, insurance, and wealth and asset management solutions for individuals, groups and institutions. At the end of 2022, we had more than 40,000 employees, over 116,000 agents, and thousands of distribution partners, serving over 34 million customers. At the end of 2022, we had $1.3 trillion (US$1.0 trillion) in assets under management and administration, including total invested assets of $0.4 trillion (US $0.3 trillion), and segregated funds net assets of $0.3 trillion (US$0.3 trillion). We trade as ‘MFC’ on the Toronto, New York, and the Philippine stock exchanges, and under ‘945’ in Hong Kong.

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 .

The annual base salary for this role is listed below.

Primary Location

Salary range is expected to be between

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