Compliance Director- Monitoring & Testing

Compliance Director- Monitoring & TestingLocation: Boston, Massachusetts
Time Type: Full Time
Posted On: 5 Days Ago
Application Deadline: December 28, 2024
The Compliance Director, US Investment Management Compliance is accountable for the execution and management of processes utilized to develop and update the organization's compliance policies and procedures and the programs established to systematically test and evaluate the effectiveness of these policies and procedures. The Director manages a team of three direct reports and is also responsible for overseeing the Advisers' Form ADV filing process to ensure timely and accurate reporting. The Director assists in managing a broad range of compliance tasks conducted by the Office of the Chief Compliance Officer ("CCO's Office") in its mission to affect compliance with federal securities laws applicable to John Hancock variable insurance products, the John Hancock Group of Funds Complex, and its Advisers, sub-advisers, and service providers.
Position Responsibilities: Establish and develop standards/processes/procedures/programs that enable the CCO's Office to comply with regulatory requirements in connection with Rules 38a-1 and 206(4)-7. Lead and oversee the implementation of these policies and procedures.Develop and manage a team of professionals tasked with internal compliance testing responsibilities as it relates to John Hancock Funds, Advisers, affiliated service providers and variable insurance products.Define and implement an exception reporting program and forensic testing process.Provide ongoing management reporting and tracking for compliance issues and risks identified by key internal compliance, risk and control groups.Act as a representative to various internal John Hancock advisers' committees.Participate in corporate/global projects/committees as needed.Provide compliance testing subject matter expertise to other corporate/global teams as needed.Supervise staff, delegate and provide direction and guidance.Manage the SEC Form ADV filing process for two registered advisers.Participate in the development of the Funds/Advisers annual 38a-1/206(4)-7 report.Responsible for storage, maintenance and workflow of all compliance policies and procedures.Develop and maintain a well-designed project management program to track and report on the status of all 38a-1/206(4)-7 testing.Manage Code of Ethics Oversight responsibilities.Required Qualifications: 10+ years of investment compliance, portfolio accounting, auditing, or other relevant regulatory or mutual fund experience.3+ years managing a 2nd line compliance program or an Internal Audit or Sarbanes Oxley testing team.Comprehensive knowledge of the 1940 Act registered products and compliance practices.Knowledge of and experience with the US investment/securities industry, products and best practices.Excellent interpersonal and communication skills (both written and oral).Results oriented; ability to balance multiple priorities and projects.Successful in building professional relationships with management/business partners.Proficient computer skills, especially with Microsoft 365.Preferred Qualifications: College/University degree preferably in Accounting/Finance/Business.Ability to interpret the impact of regulatory changes to ensure compliance.Utilizes 38a-1 or Internal Audit management experience to ensure department processes continue to improve and include industry best practices.Demonstrated strategic leadership abilities and strong influencing skills that have contributed to enhancements of a compliance or audit-testing program.When you join our team: We'll empower you to learn and grow the career you want.We'll recognize and support you in a flexible environment where well-being and inclusion are more than just words.As part of our global team, we'll support you in shaping the future you want to see.About Manulife and John Hancock: Manulife Financial Corporation is a global leader in financial services helping people make decisions easier and live better. For more information about us, visit www.manuvie.com.
Manulife is an equal opportunity employer. At Manulife/John Hancock, we embrace diversity. We strive to attract, develop, and retain a workforce that is as diverse as our clients, and to foster an inclusive workplace that leverages the diversity of our employees and their skills. We are committed to ensuring equitable recruitment, retention, promotion, and compensation practices, and we administer all our practices and programs without discrimination based on race, ancestry, place of origin, color, ethnic origin, citizenship, religion or religious beliefs, gender (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 grounds protected by applicable law.
We prioritize removing barriers to equal employment opportunity. Therefore, a representative from Human Resources will collaborate with candidates requesting reasonable accommodation during recruitment. All information communicated during the accommodation request process will be stored and used in accordance with applicable laws and policies of Manulife/John Hancock.
Primary Location: Boston, Massachusetts
Salary Range: $114,975.00 USD - $206,955.00 USD
If you are applying for this position outside of the primary region, please write to ****** for the salary scale corresponding to your region. Salary varies based on local market conditions, geography, and relevant job-related factors such as knowledge, skills, qualifications, experience, and education or training. Employees also have the opportunity to participate in incentive programs and earn performance-based compensation related to company performance 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: Family & Medical Leave | Employee Polygraph Protection | Right to Work | E-Verify | Pay Transparency Company: John Hancock Life Insurance Company (U.S.A.)

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