Senior Compliance Associate, Training
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.
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.
Reporting to the Chief Compliance Officer (CCO), the Senior Compliance Consultant is primarily responsible for supervising the annual compliance training program, running the Department’s database and third-party vendor applications/software, and be Team Leader for the Compliance Consultant role.
Duties include but are not limited to:
- Annual Compliance Training Program – oversee/team lead for the annual training program consisting of the Annual Compliance Certification, Annual Compliance Meeting and Firm Element Continuing Education training.
- Content driver, presentation builder and developer for the Annual Compliance Meeting.
- Manage the Department’s internally developed database system and coordinate with company Analytics Team to ensure the system is running optimally and implement improvements.
- Be responsible for the administration, maintenance and relationships with third party vendor solutions used by the Department.
- Assistance with document production and responses during FINRA or other regulatory examinations.
- Team leader providing subject matter expertise and mentorship to the Compliance Specialist in performing their role.
- Supervise the Outside Business Activity and Personal Trading Account disclosure process to ensure accurate adherence to approval and documentation workflows.
- Maintain and detail Department processes and conduct annual oversight testing as required.
- Provide training, as needed, for new onboarding Department associates.
- Participate in special projects from time to time as the need arises by CCO.
- The ideal candidate will have a 5+ years of broker dealer compliance experience or comparable financial services industry experience
- The candidate must have extensive knowledge and understanding of broker dealer securities regulation (investment adviser/investment company a plus) and broker dealer operations, as well as an understanding of investments, securities markets and securities distribution methods as evidenced by educational background, experience background and/or FINRA licenses.
- Series 6 or 7 and 24 or 26 required, or you will be expected to acquire within the first 12 months of date of hire.
- 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.
- The ideal candidate will be a team oriented, self-starter who possesses a keen attention to detail, strong technology skills in Excel and SharePoint, organization skills, excellent written and oral communications capabilities, and be able to meet time sensitive and 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 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 environment where everyone thrives.
- Championing Corporate Citizenship
We build a business that benefits all partners and has a positive social and environmental impact.
For this hybrid position, the employee will have to commute to our Boston offices on a weekly basis (2 days a week).
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
Salary & Benefits
The annual base salary for this role is listed below.
Primary LocationBoston, Massachusetts
Salary range is expected to be between$84,000.00 USD - $151,200.00 USD
If you are applying for this role outside of the primary location, please contact firstname.lastname@example.org 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.