Senior Investment Compliance Analyst

We are a leading financial services provider committed to making decisions easier and lives better for our customers and colleagues around the world. From our environmental initiatives to our community investments, we lead with values throughout our business. To help us stand out, we help you step up, because when colleagues are healthy, respected and meaningfully challenged, we all thrive. Discover how you can grow your career, make impact and drive real change with our Winning Team today. 

Working Arrangement

Job Description

The core job responsibility for a Senior Compliance Analyst (non-exempt) is to monitor the John Hancock Group of Funds compliance activities, including sub-adviser and service provider oversight within a manager of managers structure. To ensure the funds remain in compliance with their Prospectus/SAI, Investment Company Act of 1940, and IRS tax diversification requirements, overseeing the sub-adviser’s investment compliance monitoring, sub-adviser oversight including due diligence reviews and facilitating the sub-adviser quarterly Trustee reporting process. Assist in performing and/or supervising a broad range of compliance tasks conducted by the Office of the Chief Compliance Officer (“CCO’s Office”) in its mission to affect compliance with federal securities laws applicable to the John Hancock Group of Funds Complex, sub-advisers and service providers.

Responsibilities:

• Review compliance alerts and warnings generated by Charles River on a daily basis.  Research each issue and report breaches and other significant findings to the Investment Compliance management team Complete the annual prospectus/SAI guideline review and facilitate changes to Charles River rule coding, as needed
• Assist the CCO’s Office in sub-adviser and service provider oversight, including participation in due diligence meetings, sub-adviser and service provider outreach, enhancements to policies and procedures (as necessary), and continued monitoring of sub-adviser and service provider risk practices.
• Participate in the preparation of periodic Management and Board reporting
• Prepare periodic (daily, weekly, monthly, etc.) compliance documentation, including results of all automated and manual fund guideline rules in accordance with departmental procedures
• Participate in sub-adviser 15c reviews
• Complete IRS tax compliance testing on a quarterly basis
• Conduct peer review of compliance documentation to ensure they have been completed in accordance with departmental procedures, including the documentation of potential breaches
• Assist in SEC Rules 38a-1 and 206(4)-7 testing of policies and procedures
• Assist with Regulatory filings and/or developments
• Assists senior level team members with additional routine and more senior tasks and assignments (i.e. data management, , new sub-adviser on boarding
• Complete medium to high complexity investment compliance projects as needed                                
• Act as a resource for the Investment Compliance Analysts for more in-depth information, problem solving, and evaluating information
• Communicate and provide guidance to sub-advisers regarding compliance issues and/or reporting requests
• Assist in the training and mentoring of less senior Investment Compliance Analysts
• Handle compliance department tasks within established guidelines for quality and timeliness under the close supervision of a senior team member
• Build strong working relationships with compliance and business partners

What motivates you?

• You obsess about customers, listen, engage and act for their benefit.
• You think big, with curiosity to discover ways to use your agile approach and enable business outcomes.
• You thrive in teams and enjoy getting things done together.
• You take ownership and build solutions, focusing on what matters.
• You do what is right, work with integrity and speak up.
• You share your humanity, helping us build a diverse and inclusive work environment for everyone.

What can we offer you?

• A competitive salary and benefits packages.
• A growth trajectory that extends upward and outward, encouraging you to follow your passions and learn new skills.
• A focus on growing your career path with us.
• Flexible work policies and strong work-life balance.
• Professional development and leadership opportunities.

Our commitment to you

• Values-first culture
  We lead with our Values every day and bring them to life together.
• Boundless opportunity
  We create opportunities to learn and grow at every stage of your career.
• Continuous innovation
  We invite you to help redefine the future of financial services.
• Delivering the p