Compliance Manager
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 HybridJob Description Key Focus:
Reporting to the Assistant Chief Compliance Officer (CCO) for Risk Assessment and Testing; this individual will be responsible for risk evaluations and the development of testing methodologies to ensure compliance with operating policies & procedures under SEC Rules 38a-1 and 206(4)-7. The individual will manage the Advisers' Form ADV filing processes to ensure timely and accurate reporting. The individual may be assigned responsibilities as a subject matter expert for key risk areas such as the oversight and assessment of the John Hancock Cybersecurity Risk Management Procedures and the administration of the John Hancock Code of Ethics (the Code) and compliance with the procedures supporting the Code. Furthermore, the individual, may be tasked with managing compliance projects and leading the team's process improvement and automation initiatives.
Responsibilities:
Annually, and as needed for material amendments, prepare and file Form ADV for each applicable Investment Adviser registered with the SEC. Ensure that Access Persons, as defined by the Code, are identified, trained and on boarded promptly. Monitor adherence to service levels and provide oversight of the daily administration of other tasks related to the Investment Company Act and Investment Advisers Act Code of Ethics - Personal Trading program that are managed by Manulife's Code of Ethics Center of Expertise team. Ensure management reporting is provided timely and issues identified are promptly escalated. Manage the development and facilitation of the Advisers annual personnel conduct policies training module that is required to be completed by all Access Persons under the Advisers Code of Ethics and to include monitoring and tracking of the certifications of completion of training. Execution of risk-based internal testing programs relative to Trusts, Mutual Funds, Investment Advisers, Principal Underwriters/Distributors, Separate Accounts (Variable Annuities and Variable Life products/operations) and other internal service providers. Testing and oversight of policies relative to SEC Rule 38a-1 Cybersecurity Risk Management Procedures. Provide support to assist in maintaining an effective compliance oversight program for asset managers and external third-party service providers that will continually assess and monitor the effectiveness of their programs to prevent, detect and correct violations of federal securities laws. Perform project management functions as needed including the maintenance of the team's portfolio of projects and programs, which includes assessment of new technologies and compliance initiatives and identification and implementation of process improvements to existing technologies and compliance processes. Provide support to ensure that an orderly project plan is developed and executed to facilitate a timely and accurate reporting process for the annual Sub adviser 15c contract renewals. Participate in all aspects of external oversight process including the preparation of memos, letters, presentations, interviews and reports (utilized internally and for Board reporting purposes). Recommended
Experience:
Five plus years of experience in a financial services organization, to include two years of management or Big Four auditing experience Internal or external auditor experience and/or regulatory compliance oversight or service provider oversight experience Experience with Code of Ethics programs Experience with information security processes and/or auditing information security processes Professional Certifications/Designations evidencing expertise in testing key controls, (i.e., CIA, CFSA, CISA, CPA, CSCP, CA) or progress towards viewed favorably FINRA Series 6 or 7 a plus Bachelor's degree in Business Administration, Accounting, or a related field Knowledge & Skill Knowledge of operational matters within a registered adviser, fund accounting group and custodian bank Understanding of Rule 204A-1 of the Investment Advisers Act of 1940 and Rule 17j-1 of the Investment Company Act of 1940 Strong written and verbal skills to communicate with all levels of management in various business units Ability to multi-task including projects, travel and routine deliverables Advanced analytical skills and problem-solving skills Deadline oriented work ethic with keen organizational skills Intermediate knowledge of Microsoft Office applications Intermediate knowledge of Microsoft SharePoint Knowledge of the rules, regulations, and legal requirements of the SEC, FINRA, NFA, and state securities regulators in the financial services industry is a plus Key Differentiators Experience preparing mutual fund board materials Experience in a SEC Rule 38a-1 or 206(4)-7 related role Proficiency in examination principles and practices for the securities industry Ability to analyze and evaluate firm practices and policies against new or changing regulatory requirements Proven track record of implementing/creating a proactive compliance culture while working with line management to move the business forward #LI-JH 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.
Salary Range:
$100K -- $150K
Minimum Qualification
Auditing & ComplianceEstimated Salary: $20 to $28 per hour based on qualifications.
Reporting to the Assistant Chief Compliance Officer (CCO) for Risk Assessment and Testing; this individual will be responsible for risk evaluations and the development of testing methodologies to ensure compliance with operating policies & procedures under SEC Rules 38a-1 and 206(4)-7. The individual will manage the Advisers' Form ADV filing processes to ensure timely and accurate reporting. The individual may be assigned responsibilities as a subject matter expert for key risk areas such as the oversight and assessment of the John Hancock Cybersecurity Risk Management Procedures and the administration of the John Hancock Code of Ethics (the Code) and compliance with the procedures supporting the Code. Furthermore, the individual, may be tasked with managing compliance projects and leading the team's process improvement and automation initiatives.
Responsibilities:
Annually, and as needed for material amendments, prepare and file Form ADV for each applicable Investment Adviser registered with the SEC. Ensure that Access Persons, as defined by the Code, are identified, trained and on boarded promptly. Monitor adherence to service levels and provide oversight of the daily administration of other tasks related to the Investment Company Act and Investment Advisers Act Code of Ethics - Personal Trading program that are managed by Manulife's Code of Ethics Center of Expertise team. Ensure management reporting is provided timely and issues identified are promptly escalated. Manage the development and facilitation of the Advisers annual personnel conduct policies training module that is required to be completed by all Access Persons under the Advisers Code of Ethics and to include monitoring and tracking of the certifications of completion of training. Execution of risk-based internal testing programs relative to Trusts, Mutual Funds, Investment Advisers, Principal Underwriters/Distributors, Separate Accounts (Variable Annuities and Variable Life products/operations) and other internal service providers. Testing and oversight of policies relative to SEC Rule 38a-1 Cybersecurity Risk Management Procedures. Provide support to assist in maintaining an effective compliance oversight program for asset managers and external third-party service providers that will continually assess and monitor the effectiveness of their programs to prevent, detect and correct violations of federal securities laws. Perform project management functions as needed including the maintenance of the team's portfolio of projects and programs, which includes assessment of new technologies and compliance initiatives and identification and implementation of process improvements to existing technologies and compliance processes. Provide support to ensure that an orderly project plan is developed and executed to facilitate a timely and accurate reporting process for the annual Sub adviser 15c contract renewals. Participate in all aspects of external oversight process including the preparation of memos, letters, presentations, interviews and reports (utilized internally and for Board reporting purposes). Recommended
Experience:
Five plus years of experience in a financial services organization, to include two years of management or Big Four auditing experience Internal or external auditor experience and/or regulatory compliance oversight or service provider oversight experience Experience with Code of Ethics programs Experience with information security processes and/or auditing information security processes Professional Certifications/Designations evidencing expertise in testing key controls, (i.e., CIA, CFSA, CISA, CPA, CSCP, CA) or progress towards viewed favorably FINRA Series 6 or 7 a plus Bachelor's degree in Business Administration, Accounting, or a related field Knowledge & Skill Knowledge of operational matters within a registered adviser, fund accounting group and custodian bank Understanding of Rule 204A-1 of the Investment Advisers Act of 1940 and Rule 17j-1 of the Investment Company Act of 1940 Strong written and verbal skills to communicate with all levels of management in various business units Ability to multi-task including projects, travel and routine deliverables Advanced analytical skills and problem-solving skills Deadline oriented work ethic with keen organizational skills Intermediate knowledge of Microsoft Office applications Intermediate knowledge of Microsoft SharePoint Knowledge of the rules, regulations, and legal requirements of the SEC, FINRA, NFA, and state securities regulators in the financial services industry is a plus Key Differentiators Experience preparing mutual fund board materials Experience in a SEC Rule 38a-1 or 206(4)-7 related role Proficiency in examination principles and practices for the securities industry Ability to analyze and evaluate firm practices and policies against new or changing regulatory requirements Proven track record of implementing/creating a proactive compliance culture while working with line management to move the business forward #LI-JH 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.
Salary Range:
$100K -- $150K
Minimum Qualification
Auditing & ComplianceEstimated Salary: $20 to $28 per hour based on qualifications.
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