Massachusetts Staffing
Compliance Manager
The Compliance Manager is responsible for the execution and/or supervision of processes utilized to develop and update the organization's compliance policies and procedures and the programs established to systematically test and evaluate the effectiveness of these policies and procedures. You will 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 John Hancock Investment Company products, the John Hancock Group of Funds Complex, and their Advisers, sub-advisers, and service providers. Position Responsibilities: Manage standards/processes/procedures/programs that enable John Hancock to comply with regulatory requirements in connection with SEC Rules 38a-1 and 206(4)-7. Revise existing policies and procedures and develop new policies as needed with regulatory and/or business developments. Conduct risk assessments and testing of compliance policies and procedures, to include planning, fieldwork, and reporting. Assist the CCO's Office in sub-adviser and service provider oversight, including participation in due diligence meetings, sub-adviser and service provider outreach, and continued monitoring of sub-adviser and service provider risk practices. Track and follow-up on open issues until resolved. Assist with regulatory filings. Assist with Code of Ethics Oversight responsibilities. Act as an advisor to business unit management on compliance matters and issues, providing regulatory insight and applying sound business judgment. Identify and implement technology to improve the effectiveness and efficiency of the testing process. May be responsible for managing corporate compliance responsibilities, including privacy and records retention functions. Required Qualifications: College/University degree preferably in Accounting/Finance/Business 4-6 years of auditing, compliance, portfolio accounting or other relevant regulatory or investment company experience Preferred Qualifications: Project Management experience Experience interpreting regulatory changes to ensure compliance Experience representing prior organization and/or department internally and externally Experience with RSA Archer (previously known as Archer GRC), or similar governance, risk, and compliance management software Demonstrated knowledge of audit methodologies, control frameworks, and risk management practices Professional Certifications/Designations evidencing expertise in key controls testing (i.e., CIA, CISA, CFSA, CPA, CA), or substantial progress towards achievement. 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. Location: Boston, Massachusetts Work Modalities: Hybrid Salary Range: $90,225.00 USD - $162,405.00 USD Company: John Hancock Life Insurance Company (U.S.A.)
The Compliance Manager is responsible for the execution and/or supervision of processes utilized to develop and update the organization's compliance policies and procedures and the programs established to systematically test and evaluate the effectiveness of these policies and procedures. You will 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 John Hancock Investment Company products, the John Hancock Group of Funds Complex, and their Advisers, sub-advisers, and service providers. Position Responsibilities: Manage standards/processes/procedures/programs that enable John Hancock to comply with regulatory requirements in connection with SEC Rules 38a-1 and 206(4)-7. Revise existing policies and procedures and develop new policies as needed with regulatory and/or business developments. Conduct risk assessments and testing of compliance policies and procedures, to include planning, fieldwork, and reporting. Assist the CCO's Office in sub-adviser and service provider oversight, including participation in due diligence meetings, sub-adviser and service provider outreach, and continued monitoring of sub-adviser and service provider risk practices. Track and follow-up on open issues until resolved. Assist with regulatory filings. Assist with Code of Ethics Oversight responsibilities. Act as an advisor to business unit management on compliance matters and issues, providing regulatory insight and applying sound business judgment. Identify and implement technology to improve the effectiveness and efficiency of the testing process. May be responsible for managing corporate compliance responsibilities, including privacy and records retention functions. Required Qualifications: College/University degree preferably in Accounting/Finance/Business 4-6 years of auditing, compliance, portfolio accounting or other relevant regulatory or investment company experience Preferred Qualifications: Project Management experience Experience interpreting regulatory changes to ensure compliance Experience representing prior organization and/or department internally and externally Experience with RSA Archer (previously known as Archer GRC), or similar governance, risk, and compliance management software Demonstrated knowledge of audit methodologies, control frameworks, and risk management practices Professional Certifications/Designations evidencing expertise in key controls testing (i.e., CIA, CISA, CFSA, CPA, CA), or substantial progress towards achievement. 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. Location: Boston, Massachusetts Work Modalities: Hybrid Salary Range: $90,225.00 USD - $162,405.00 USD Company: John Hancock Life Insurance Company (U.S.A.)