The Compliance Consultant will be part of the Global Distribution Compliance team and provide advertising compliance reviews on behalf of Manulife and John Hancock’s affiliated broker dealers and investment advisor to ensure compliance with applicable SEC and FINRA rules and internal policies.

Position Responsibilities:

• Review, approve, and file advertising and other Communications with the Public materials pursuant to regulatory requirements for the firm’s products and services including mutual funds, 529 plan. ETFs, CITs, SMA, and model portfolios.

• Reviews will include but are not limited to fact sheets, seminars, websites, promotional materials, press releases, educational materials, webinars, articles, social media, client communications, RFPs, newsletter, and print and TV ads.

• Assist with preparation of regulatory filings and revisions

• Participate in projects, as needed, to support the compliance team and business partners

• Act as an individual contributor, set direction, establish goals and manage the tasks assigned

• Establish and maintain strong working relationships with the business units

• Capable of handling advanced compliance work

• Assist team members with tasks and assignments as needed

• Support the development, implementation and maintenance of policies and procedures that enable the firm to remain in compliance with regulatory requirements

• Represent Compliance on segment-wide or global projects.

• Work with regulators as needed

• Participate in industry forums/working group to stay current on regulatory trends and up to date with industry peer standards

• Collaborate with all areas of the organization to ensure compliance needs and business goals are met

• Share best practices with other team members, thus ensuring consistency in the way business/process/products are developed and maintained to be in compliance with regulatory and company requirements

• As a team member of the Global Distribution Compliance Center of Expertise, you will enjoy working and collaborating with different compliance groups who support our different businesses – insurance, retirement, wealth and asset management - and will gain a sound understanding of, and exposure to, the different financial products and services we distribute across the globe.

Required Qualifications:

• FINRA Series 7 and 24 strongly preferred. Candidates may be considered without these licenses but must obtain them within six months. Series 51 is a plus.

• Prior advertising review experience including is recommended

• Understanding of FINRA advertising standards as they apply to the broker-dealer advertising, specifically the Investment Company Act of 1940 and SEC rules as they apply to Investment Advisor advertising, specifically the Investment Advisor Act of 1940

• Extensive knowledge of investment products including mutual funds, variable products, and separately managed accounts.

• Advanced understanding of the regulatory environment in which the Company operates and a strong understanding of key compliance requirements applicable to the business.

• Knowledge and proficiency with AI tools, including the ability to use AI to streamline workflow, analyze information, and support compliance processes.

• Minimum 3-5 years of related financial services, compliance or management experience.

• Excellent organizational skills and written and verbal communication skills

• Strong ethical compass

• Relationship building skills

• Strong project management skills

• Ability to work independently and as part of a team

• Ability to work with all levels of management in the organization.

• Ability to facilitate decision making across groups in the company.

• Ability to analyze information, make appropriate recommendations

• Able to make decisions regarding compliance with limited guidance and assistance.

• Able to prioritize and reprioritize work deliverables and projects for internal clients based on changing business needs

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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À propos de Manuvie et de John Hancock

La Société Financière Manuvie est un chef de file mondial des services financiers qui aide les gens à prendre leurs décisions plus facilement et à vivre mieux. Pour en apprendre plus à notre sujet, rendez vous à l’adresse www.manuvie.com.

Manuvie est un employeur qui souscrit au principe de l’égalité d’accès à l’emploi

Chez Manulife/John Hancock nous valorisons notre diversité. Nous nous efforçons d’attirer, de perfectionner et de maintenir une main d'oeuvre qui est aussi diversifiée que nos clients, et de favoriser la création d’un milieu de travail inclusif qui met à profit la diversité de nos employés et les compétences de chacun. Nous nous engageons à assurer un recrutement, une fidélisation, une promotion et une rémunération équitables, et nous administrons toutes nos pratiques et tous nos programmes sans discrimination en raison de la race, de l’ascendance, du lieu d’origine, de la couleur, de l’origine ethnique, de la citoyenneté, de la religion ou des croyances ou des convictions religieuses, du genre (y compris grossesse et affection liée à une grossesse), de l’orientation sexuelle, des caractéristiques génétiques, du statut d’ancien combattant, de l’identité de genre, de l’expression de genre, de l’âge, de l’état matrimonial, de la situation de famille, d’une invalidité ou de tout autre motif protégé par la loi applicable.

Nous nous sommes donné comme priorité d’éliminer les obstacles à l’accès égalitaire à l’emploi. C’est pourquoi un représentant des Ressources humaines collaborera avec les candidats qui demandent accommodement raisonnable pendant le recrutement. Tous les renseignements communiqués pendant le processus de demande d'accommodement seront stockés et utilisés conformément aux lois et aux politiques applicables de Manuvie. Pour demander une mesure d’accommodement raisonnable dans le cadre du recrutement, écrivez à hr@manulife.com.

Referenced Salary Location

Modalités de travail

Salary range is expected to be between

Les employés ont également la possibilité de participer à des programmes incitatifs et de recevoir une rémunération liée à la performance de l’entreprise et des individus. Le salaire réel variera selon les conditions du marché local, la région géographique et les facteurs propres au poste, tels que les connaissances, les compétences, les qualifications, l’expérience et la formation. Si vous postulez à ce poste en dehors de votre lieu principal, veuillez contacter hr@manulife.com pour connaître la fourchette salariale applicable à votre région.

Manulife/John Hancock offers eligible employees a wide array of customizable benefits, including health, dental, mental health, vision, short- and long-term disability, life and AD&D insurance coverage, adoption/surrogacy and wellness benefits, and employee/family assistance plans. We also offer eligible employees various retirement savings plans (including pension/401(k) savings plans and a global share ownership plan with employer matching contributions) and financial education and counseling resources. Our generous paid time off program in the U.S. includes up to 11 paid holidays, 3 personal days, 150 hours of vacation, and 40 hours of sick time (or more where required by law) each year, and we offer the full range of statutory leaves of absence.

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