Director of Compliance
About The Position
The Director, Compliance, within the John Hancock Chief Compliance Officer’s Office (the “CCO’s Office”), supports the compliance programs for John Hancock Personal Financial Services ("JHPFS"), Manulife John Hancock Investments and the John Hancock Group of Funds. The Compliance Director is responsible for administering a compliance program and providing compliance guidance to ensure that JHPFS meets its regulatory compliance obligations. In addition to JHPFS responsibilities, this Director role will also provide compliance support to the Sub-Adviser and Service Provider Oversight Team accountable for supporting/managing the sub-adviser/service provider oversight, due diligence and annual 15c process required under SEC Rules 38a-1 and 206(4)-7.
Requirements
- 7-10 years of experience in investment operations, compliance, auditing, or regulatory roles within the asset management or mutual fund industry.
- Deep knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940 and related compliance practices.
- Strong understanding of U.S. investment/securities products, operations, and regulatory frameworks.
- Proven ability to lead teams, manage complex projects, and influence senior stakeholders.
- Excellent written and verbal communication skills.
- Proficiency in Microsoft 365 and compliance systems.
Nice To Haves
- Strategic leadership and relationship-building skills with cross-functional teams
- Demonstrated comfort operating in a fast‑paced, technology‑driven environment with evolving business and regulatory demands
- Experience working within Agile delivery frameworks and collaborating effectively with cross‑functional Agile teams
Responsibilities
- Assisting in performing compliance testing in support of the Rule 206(4)-7 Report for JHPFS
- Attending and participating in governance committees for JHPFS
- Assisting in the production and filing of JHPFS’ Annual SEC Form ADV Filing
- Advising and guiding business colleagues on regulatory matters and strategic business initiatives
- Managing the sub-adviser oversight program, including risk dashboard production and preparation of Board reporting requiring review
- Reviewing and analyzing sub-adviser due diligence questionnaire responses, escalating and addressing any emerging issues
- Working closely with the GWAM Vendor Management team to manage the service provider oversight program in support of the Funds’ Rule 38a-1 obligations
- Managing sub-adviser oversight documentation
- Assist with the annual contract renewal process required under Section 15 (c) of the Investment Company Act of 1940
- Supporting the team in managing Enterprise Compliance responsibilities, including activities associated with the John Hancock Trust Company, and other US Retail Businesses/legal entities
- Act as an advisor to business unit management on compliance matters and issues by providing regulatory insight and applying sound business judgement
Benefits
- 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.
- 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.
- 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
- full range of statutory leaves of absence.
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What This Job Offers
Job Type
Full-time
Career Level
Director
Education Level
No Education Listed
