Are you looking for a supportive, collaborative workplace with great teams and inspiring leaders? You’ve come to the right place. We’re looking for ambitious people who share our values and want to make every day better for people around the world. If this sounds like you, and the career below sounds exciting, we’d like to hear from you. Working Arrangement Hybrid Job Description The Compliance Manager assists U.S. retail broker-dealer Chief Compliance Officer with the day-to-day administration of a compliance program for a retail, FINRA registered broker-dealer. This job description does not represent a comprehensive listing of job duties that are required of the employee performing this role. We reserve the right to change duties or assign additional duties at any time with or without notice. Responsibilities Assisting with the administration of written compliance policies crafted to achieve compliance with applicable FINRA rules, MSRB rules and federal securities laws and regulations Supervising the legislative and regulatory environments to identify matters which may impact policies and procedures and assisting with the modification of such policies and procedures as vital Assist with the review of policies and procedures to ensure they are continually effective in their design Testing the efficiency policies and procedures to ensure they are effective in their implementation Advising the business on compliance matters affecting day-to-day operations Assisting the CCO in the provision of mentorship on regulatory compliance risk related to new products, features, distribution or compensation arrangements or other projects as needed Providing compliance training Liaising with regulators (e.g., inquires, filings, examinations) and assisting CCO throughout regulatory examination lifecycle Work on special projects or assignments, as vital What motivates you? You obsess about customers, listen, engage and act for their benefit. You think big, with curiosity to discover ways to use your agile approach and enable business outcomes. You thrive in teams and enjoy getting things done together. You take ownership and build solutions, focusing on what matters. You do what is right, work with integrity and speak up. You share your humanity, helping us build a diverse and inclusive work environment for everyone. What we are looking for College/University Degree and/or equivalent experience Minimum 5 years of related financial services, compliance or management experience. Strong organizational skills Strong written and verbal communication skills Strong technology skills including knowledge of applicable compliance or business systems Strong ethical compass Proven understanding of the financial services industry with an understanding of retail broker-dealer products and services Strong understanding of the regulatory environment relative to retail broker-dealers FINRA Series 7 and 24 Experience responding to customer complaints Ability to work independently Ability to multi-task Ability to embrace change 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 champion an inclusive work environment where everyone thrives. Championing Corporate Citizenship We build a business that benefits all partners and has a positive social and environmental impact. 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 recruitment@manulife.com. 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.) This is a values-led organization where people bring their passions, ambitions, and the full scope of their life experience to work. This makes for a stronger community, culture, and business. Individually and collectively, we are harnessing our potential, and exploring new opportunities we’d never imagined. We're consistently recognized as a top employer. We offer work that challenges and makes a difference within a flexible and supportive environment, so you can help make decisions easier and lives better for our customers. Recent Awards include: Forbes 2020 World’s Best Employers Greater Toronto's Top Employers 2020 Canada’s Top Employers for Young People 2020 Canada’s Best Diversity Employers 2020 For Manulife/John Hancock’s most recent jobs sent directly to your inbox, please create an account/ sign in and click on ‘Job Alerts’ in the top right corner of the page to sign up.