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About the Role
The Compliance Manager is part of the Global Wealth and Asset Management (GWAM) U.S. Retail & Wealth Compliance Team, supporting compliance oversight and advisory for U.S. Retail & Wealth businesses, products, distribution channels, legal entities, and strategic initiatives. This role provides practical compliance guidance, identifies and mitigates regulatory risks, and supports adherence to laws, regulations, and policies, fostering a strong culture of compliance.
Responsibilities
- Provide compliance guidance and support to assigned business units, legal entities, products, services, or strategic initiatives.
- Partner with business stakeholders to identify regulatory risks and develop practical, risk-based solutions.
- Support new product, process, technology, and business initiatives by identifying and addressing applicable compliance requirements.
- Serve as a compliance resource on various matters, including customer complaints, issue management, due diligence, trade errors, supervisory matters, and other regulatory concerns.
- Support the administration and enhancement of the compliance program, policies, procedures, and controls.
- Assist with the execution of compliance monitoring, testing, and risk assessment activities.
- Monitor regulatory and industry developments and evaluate their impact on business operations, policies, and procedures.
- Support compliance program activities such as employee training, certifications, disclosures, and related compliance obligations.
- Assist with the preparation of compliance reporting and management information for governance committees, senior management, and other stakeholders.
- Support regulatory examinations, audits, inquiries, and internal reviews, including coordinating responses and tracking remediation activities.
- Assist in maintaining documentation necessary to demonstrate compliance with applicable regulatory requirements.
- Partner with Legal, Risk Management, Audit, Operations, Technology, Marketing, Product, and other business functions to support compliance objectives.
- Participate in enterprise, segment, or departmental compliance initiatives and projects as assigned.
Requirements
- 5-8 years of experience in compliance, legal, audit, risk management, or related functions within the financial services industry.
- Knowledge of regulatory requirements applicable to financial services organizations, including investment advisory, broker-dealer, insurance, retirement, or related businesses.
- Ability to interpret regulatory requirements and apply them to business activities in a practical and risk-based manner.
- Strong analytical, organizational, and problem-solving skills.
- Ability to manage multiple priorities in a fast-paced and evolving environment.
- Excellent verbal and written communication skills.
- Strong interpersonal skills and the ability to build effective partnerships across business and control functions.
- Experience supporting registered investment advisers, broker-dealers, wealth management, retirement, insurance, or digital financial services businesses.
- Familiarity with the Investment Advisers Act of 1940 and related state and federal regulatory requirements.
- Experience supporting product development, technology initiatives, or Agile project environments.
- Knowledge of ERISA, retirement plans, privacy, anti-money laundering, or related regulatory frameworks.
Skills
- Compliance
- Legal
- Audit
- Risk Management
- Financial Services
- Regulatory Requirements
- Investment Advisory
- Broker-Dealer
- Insurance
- Retirement
- Analytical Skills
- Organizational Skills
- Problem-Solving Skills
- Communication Skills
- Interpersonal Skills
- Partnership Building
- Product Development
- Technology Initiatives
- Agile Project Management
- ERISA
- Privacy
- Anti-Money Laundering
Location
- Boston, Massachusetts
Work Type
- Hybrid
Experience Level
- 5-8 years
Salary/Compensations
- $92,475.00 USD - $160,290.00 USD
Benefits
- Health, dental, mental health, vision, short- and long-term disability, life and AD&D insurance coverage.
- Adoption/surrogacy and wellness benefits.
- Employee/family assistance plans.
- Retirement savings plans (including pension/401(k) savings plans and a global share ownership plan with employer matching contributions).
- Financial education and counseling resources.
- Up to 11 paid holidays, 3 personal days, 150 hours of vacation, and 40 hours of sick time each year.
- Statutory leaves of absence.
About the Company
- Manulife Financial Corporation is a leading international financial services provider, helping people make their decisions easier and lives better.
- John Hancock Life Insurance Company (U.S.A.)
Equal Opportunity
- 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 hr@manulife.com.