Compliance Director Jobs

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Working Arrangement
Hybrid

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
Duties Include But Are Not Limited To
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.

• 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.
• Develop and coordinate responses to internal and external audits,
• Assess and integrate, where possible, Department databases for the distribution broker dealers.
• Monitor, review and amend, as vital, annual procedures/controls testing and liaise with U.S. Segment Compliance on execution of annual testing.
• Provide mentorship and training to the Broker Dealer Compliance team:
• Training for Compliance team related to new or amended regulation and changes to broker dealer policy.
• Manage and respond to FINRA and State registration related inquiries.
• Run the electronic communications review system and process, including developing training materials and procedures.
• Annual registration renewal.
• Ensure consistent application of internal department processes and broker dealer procedures.
• Draft and file waiver requests.
• Lead the Registration Team and handle the registration program for the broker dealers and the registered employees associated with the broker dealers including:
• Monitor, maintain, review and assist team with broker dealer’s written supervisory procedures and supervisory controls to ensure procedures/controls are current and relevant.
• Provide technical expertise and feedback for general broker dealer/sales practice inquiries.
• Assist with and respond to regulatory audits and inquiries.
• Initial registrations, registration updates and terminations. (Forms U4, U5, BD, and BR)
• Coordinate and run all broker dealer Compliance Program activities such as continuing education training, internal filings and risk assessments, and periodic regulatory filings.
• Act as firm’s Super Account Administrator for the FINRA Gateway system.
• In conjunction with the CCO, accountable for the development, coordination and maintenance of all compliance, regulatory and risk management procedures
• Assist with vendor management, compliance system implementations, and ongoing improvements/updates.
• Participate in special projects from time to time as the need arises by CCO.
• Handle complaint tracking and reporting, in coordination with CCO and Legal Counsel.
• Contribute and assist with reporting.
• Look for opportunities of efficiencies for department processes.

Proficiencies/Requirements

• 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 have a minimum of 8+ years of broker dealer compliance or financial services management experience
• 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.
• Must have extensive knowledge and understanding of broker dealer securities regulation (investment adviser/investment company a plus) and broker dealer operations
• 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
• Series 6 or 7 and 24 or 26 required.

What can we offer you?

• A focus on growing your career path with us.
• A competitive salary and benefits packages.
• A growth trajectory that extends upward and outward, encouraging you to follow your passions and learn new skills.
• Flexible work policies and strong work-life balance.
• Professional development and leadership opportunities.

Our commitment to you

• Championing Corporate Citizenship We build a business that benefits all partners and has a positive social and environmental impact.
• Boundless opportunity We create opportunities to learn and grow at every stage of your career.
• Delivering the promise of Diversity, Equity and Inclusion We foster an inclusive workplace where everyone thrives.
• Continuous innovation We invite you to help redefine the future of financial services.
• Values-first culture We lead with our Values every day and bring them to life together.

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 [email protected].
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 [email protected] 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.)