Compliance Specialist

Reporting to the Compliance Director, the Compliance Specialist is a dynamic and multi-faceted role. This position is primarily responsible for electronic communications monitoring and oversight for our U.S. based broker-dealers. Additionally, the role serves as a primary contact for regulator interactions, and coordinates and supports the AML, Privacy, Records Management and Business Continuity programs. 

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:  

• Provide regular oversight of the broker dealer’s electronic communications regulatory archive system, Global Relay. Act as a subject matter authority on correspondence content for reviewers and business partners and ensure proper surveillance controls. 

• Facilitate the quarterly complaint review process with business unit partners and Compliance Director to determine applicability and actions pursuant to regulatory reporting requirements. 

• Coordinate regulatory examinations of the Broker-Dealers and take a lead role on responding to regulatory inquiries.

• Serve as the Coordinator for the Compliance Department, overseeing Privacy and the review and maintenance of corresponding policies and procedures, Anti-Money Laundering (AML) compliance, Business Continuity, and records management in accordance with John Hancock’s Records Management Program. 

• Provide compliance reporting to the Compliance Director, Chief Compliance Officer(s) and Global Compliance Office.  

Required Qualifications:

• The ideal candidate will have 3+ years of broker-dealer compliance experience or comparable financial services industry experience.  

• The candidate must have a base knowledge and understanding of broker-dealer securities regulation (investment adviser/investment company a plus) and broker-dealer operations.

• College/University degree or relevant work experience. 

• The ideal candidate will be both a self-starter and a team player.   

• Capable of managing multiple tasks simultaneously.  

• Demonstrate a flexible mindset and show resiliency when faced with setbacks and challenges.  

• Possess excellent organizational skills with a disciplined approach to their work.  

• Demonstrates strong written and verbal communication skills.  

• Technologically proficient, with experience working with AI tools, Risk Management platforms, SharePoint sites, and Microsoft O365.

• Exhibits strong analytical and problem-solving skills.  

• Possess a strong ethical compass that is aligned with the company’s values.  

• Displays a desire to learn and be a continuous learner.  

• Prefers a collaborative work environment and embraces a hybrid work arrangement.  

• Ability to work collaboratively with cross-functional teams and internal business partners and stakeholders.

Preferred Qualifications:

• FINRA licenses to include, Series 6, 7, 26 and/or 24 preferred, but not required.

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.

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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, c