Compliance Consultant

The Compliance Consultant will be part of the Global Distribution Compliance team and provide advertising compliance reviews on behalf of Manulife and John Hancock’s affiliated broker dealers and investment advisor to ensure compliance with applicable SEC and FINRA rules and internal policies.

Position Responsibilities

• Review, approve, and file advertising and other Communications with the Public materials pursuant to regulatory requirements for the firm’s products and services including mutual funds, 529 plan. ETFs, CITs, SMA, and model portfolios.
• Reviews will include but are not limited to fact sheets, seminars, websites, promotional materials, press releases, educational materials, webinars, articles, social media, client communications, RFPs, newsletter, and print and TV ads.
• Assist with preparation of regulatory filings and revisions
• Participate in projects, as needed, to support the compliance team and business partners
• Act as an individual contributor, set direction, establish goals and manage the tasks assigned
• Establish and maintain strong working relationships with the business units
• Capable of handling advanced compliance work
• Assist team members with tasks and assignments as needed
• Support the development, implementation and maintenance of policies and procedures that enable the firm to remain in compliance with regulatory requirements
• Represent Compliance on segment-wide or global projects.
• Work with regulators as needed
• Participate in industry forums/working group to stay current on regulatory trends and up to date with industry peer standards
• Collaborate with all areas of the organization to ensure compliance needs and business goals are met
• Share best practices with other team members, thus ensuring consistency in the way business/process/products are developed and maintained to be in compliance with regulatory and company requirements
• As a team member of the Global Distribution Compliance Center of Expertise, you will enjoy working and collaborating with different compliance groups who support our different businesses – insurance, retirement, wealth and asset management - and will gain a sound understanding of, and exposure to, the different financial products and services we distribute across the globe.
  
  

Required Qualifications

• FINRA Series 7 and 24 strongly preferred. Candidates may be considered without these licenses but must obtain them within six months. Series 51 is a plus.
• Prior advertising review experience including is recommended
• Understanding of FINRA advertising standards as they apply to the broker-dealer advertising, specifically the Investment Company Act of 1940 and SEC rules as they apply to Investment Advisor advertising, specifically the Investment Advisor Act of 1940
• Extensive knowledge of investment products including mutual funds, variable products, and separately managed accounts.
• Advanced understanding of the regulatory environment in which the Company operates and a strong understanding of key compliance requirements applicable to the business.
• Knowledge and proficiency with AI tools, including the ability to use AI to streamline workflow, analyze information, and support compliance processes.
• Minimum 3-5 years of related financial services, compliance or management experience.
• Excellent organizational skills and written and verbal communication skills
• Strong ethical compass
• Relationship building skills
• Strong project management skills
• Ability to work independently and as part of a team
• Ability to work with all levels of management in the organization.
• Ability to facilitate decision making across groups in the company.
• Ability to analyze information, make appropriate recommendations
• Able to make decisions regarding compliance with limited guidance and assistance.
• Able to prioritize and reprioritize work deliverables and projects for internal clients based on changing business needs
  
  

When You Join Our Team

• We’ll empower you to learn and grow the career you want.
• We’ll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
• As part of our global team, we’ll support you in shaping the future you want to see.
  
  

About Manulife And John Hancock

Manulife Financial Corporation is a leading international financial services provider, helping people make their decisions easier and lives better. To learn more about us, visit https://www.manulife.com/en/about/our-story.html.

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.

Referenced Salary Location

Boston, Massachusetts

Working Arrangement

Hybrid

Salary range is expected to be between

$73,350.00 USD - $122,250.00 USD

Employees also have the opportunity to participate in incentive programs and earn incentive compensation tied to business and individual performance. 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. If you are applying for this role outside of the primary location, please contact hr@manulife.com for the salary range for your location.

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

Company: John Hancock Life Insurance Company (U.S.A.)