The Director of Compliance supports the John Hancock Chief Compliance Officer's Office by administering compliance programs for Personal Financial Services and investment funds
Job Summary
The Director of Compliance supports the John Hancock Chief Compliance Officer's Office by administering compliance programs for Personal Financial Services and investment funds.
This role requires managing the sub-adviser oversight program, conducting due diligence, and ensuring adherence to SEC Rules 38a-1 and 206(4)-7.
Employees benefit from a flexible hybrid work arrangement, comprehensive health and retirement benefits, and opportunities for career growth within a global financial services team.
Matching Summary
The Director of Compliance supports the John Hancock Chief Compliance Officer's Office by administering compliance programs for Personal Financial Services and investment funds.
Salary
Base: $128,550.00 - $222,820.00 USD; Bonus/Equity: Incentive compensation tied to performance; Benefits: Health, dental, vision, 401(k) match, up to 11 paid holidays
Skills & Requirements
Must-have
7-10 years investment compliance experience
Deep knowledge Investment Company Act 1940
Investment Advisers Act 1940 expertise
SEC Rule 38a-1 and 206(4)-7 knowledge
Sub-adviser oversight program management
Annual SEC Form ADV filing experience
Nice-to-have
Experience with Agile delivery frameworks
Strategic leadership in fast-paced environments
Cross-functional relationship building skills
Technology-driven compliance environment comfort
Key Requirements
7-10 years experience in asset management or mutual fund industry
Proven ability to lead teams and manage complex projects
Strong understanding of U.S. investment securities products and regulations