Senior Compliance Consultant

3 days ago

Waterloo, Ontario, Canada Manulife Full time
Manulife Senior Compliance Consultant in Waterloo, Ontario

This is an exciting opportunity for a candidate to join a department that is critical to supporting the oversight of the compliance programs for John Hancock Distributors LLC ("JHD"), John Hancock Investment Management Distributors LLC ("JHIMD"), Manulife John Hancock Brokerage Services LLC ("MJHBS"), and John Hancock Personal Financial Services, LLC ("JHPFS").

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. MJHBS is a retail Broker-Dealer approved to engage in private placements, mutual funds and variable life and annuities, equities, municipals (529 plans), options, corporate debt, and U.S. Governments. JHPFS is a Registered Investment Adviser involved in developing and bringing to market digital advice product solutions to assist investors in managing their investments and personal financial goals.

Reporting to the Compliance Director, the Senior Compliance Consultant is a dynamic and multi-faceted role. This position is primarily responsible for developing and executing a comprehensive training and development program for our U.S. based broker-dealers. Additionally, the role will lead our risk assessment efforts to drive compliance testing and monitoring priorities and serve as the primary compliance support for distribution efforts related to private placement offerings.

This role is crucial in supporting Manulife's U.S. based broker-dealers, playing an integral part in achieving the overall strategic priorities, initiatives, and goals of the GWAM US Retail Compliance team.

Position Responsibilities:

  1. Develop and implement the U.S. broker-dealer training and education program, including the Annual Compliance Certification, Annual Compliance Meeting, and Firm Element Continuing Education sessions. This involves a consideration of emerging regulatory risks and best practices to reinforce a culture of compliance and ethics.
  2. Lead the ongoing assessment of inherent regulatory risks applicable to our businesses and evaluate the strength of corresponding controls. This will drive compliance testing and monitoring priorities and inform the development of additional policies and procedures.
  3. Provide knowledgeable interpretation and analysis, in consultation with legal counsel, on regulatory matters affecting the distribution of private placements. This includes evaluating new initiatives, distribution strategies, and control activities.
  4. Support the administration of policies and procedures designed to identify, assess, communicate, manage, and mitigate regulatory risks, thereby reducing the risk of non-compliance.
  5. Monitor the regulatory environment to assess risks applicable to our business and advise on the impact to policies and procedures.
  6. Provide compliance reporting to the Compliance Director, Chief Compliance Officer(s), and Global Compliance Office.
  7. Coordinate regulatory examinations of the Broker-Dealers and assist, as needed, with responses to regulatory inquiries.
  8. In conjunction with the Compliance Director, be responsible for the administration, maintenance, and relationships with third party vendor solutions used by the Department.

Required Qualifications:

  1. The ideal candidate will have 5+ years of broker-dealer compliance experience or comparable financial services industry experience.
  2. 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.
  3. The ideal candidate will be both a self-starter and a team-player.
  4. Capable of managing multiple tasks simultaneously.
  5. Demonstrate a flexible mindset and show resiliency when faced with setbacks and challenges.
  6. Possess excellent organizational skills with a disciplined approach to their work.
  7. Demonstrate strong written and verbal communication skills.
  8. Is technologically proficient, with experience working with AI tools, Risk Management and Learning Management System (LMS) platforms, SharePoint sites, and Microsoft O365.
  9. Exhibits strong analytical and problem-solving skills.
  10. Possess a strong ethical compass that is aligned with the company's values.
  11. Displays a desire to learn and be a continuous learner.
  12. Prefers a collaborative work environment and embraces a hybrid work arrangement.
  13. Ability to work collaboratively with cross-functional teams and internal business partners and stakeholders.
  14. Series 7 and Series 24 licenses preferred.

When you join our team:

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

#LI-Hybrid

#LI-JH

$90,225.00 USD - $162,405.00 USD

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

#J-18808-Ljbffr

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