Senior Compliance Manager

Reporting to the AVP, Chief Compliance Officer, the Compliance Manager is a member of the Global Wealth and Asset Management (GWAM) U.S. Retail & Wealth Compliance Team. The role supports compliance oversight and advisory activities across U.S. Retail & Wealth businesses, products, distribution channels, legal entities, and strategic initiatives.

The Senior Compliance Manager partners closely with business stakeholders and control functions to provide practical compliance guidance, identify and mitigate regulatory risks, and support adherence to applicable laws, regulations, and internal policies. The role contributes to the administration and execution of the compliance program and helps foster a strong culture of compliance throughout the organization.

This position operates in a dynamic environment where business priorities, regulatory requirements, and organizational needs will evolve over time. As a result, specific areas of responsibility may change based on business needs, departmental priorities, and regulatory developments.

Position Responsibilities:

Compliance Advisory and Business Support

• Provide compliance guidance and support to assigned business units, legal entities, products, services, or strategic initiatives.
• Partner with business stakeholders to identify regulatory risks and develop practical, risk-based solutions.
• Support new product, process, technology, and business initiatives by identifying and addressing applicable compliance requirements.
• Serve as a compliance resource on a variety of matters, including customer complaints, issue management, due diligence activities, trade errors, supervisory matters, and other regulatory concerns, as applicable.

Compliance Program Administration

• Support the administration and enhancement of the compliance program, policies, procedures, and controls designed to meet applicable regulatory requirements and internal standards.
• Assist with the execution of compliance monitoring, testing, and risk assessment activities.
• Monitor regulatory and industry developments and assist in evaluating their impact on business operations, policies, and procedures.
• Support compliance program activities such as employee training, certifications, disclosures, and related compliance obligations, as assigned.

Regulatory and Governance Support

• Assist with the preparation of compliance reporting and management information for governance committees, senior management, and other stakeholders.
• Support regulatory examinations, audits, inquiries, and internal reviews, including coordinating responses and tracking remediation activities.
• Assist in maintaining documentation necessary to demonstrate compliance with applicable regulatory requirements.

Compliance Reviews and Cross-Functional Support

• Partner with Legal, Risk Management, Audit, Operations, Technology, Marketing, Product, and other business functions to support compliance objectives.
• Participate in enterprise, segment, or departmental compliance initiatives and projects as assigned.

Required Qualifications:

• 5-8 years of experience in compliance, legal, audit, risk management, or related functions within the financial services industry.
• Knowledge of regulatory requirements applicable to financial services organizations, including investment advisory, broker-dealer, insurance, retirement, or related businesses.
• Ability to interpret regulatory requirements and apply them to business activities in a practical and risk-based manner.
• Strong analytical, organizational, and problem-solving skills.
• Ability to manage multiple priorities in a fast-paced and evolving environment.
• Excellent verbal and written communication skills.
• Strong interpersonal skills and the ability to build effective partnerships across business and control functions.

Preferred Qualifications:

• Experience supporting registered investment advisers, broker-dealers, wealth management, retirement, insurance, or digital financial services businesses.
• Familiarity with the Investment Advisers Act of 1940 and related state and federal regulatory requirements.
• Experience supporting product development, technology initiatives, or Agile project environments.
• Knowledge of ERISA, retirement plans, privacy, anti-money laundering, or related regulatory frameworks.

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.

The role being advertised is an existing vacancy.

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, citizenship, religion or religious beliefs, creed, sex (including pregnancy and pregnancy-related conditions), sexual orientation, genetic characteristics, veteran status, gender identity, gender expression, age, marital status, family status, disability, or any other ground protected by applicable law.

It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will work with applicants who request a reasonable accommodation during the application process. All information shared during the accommodation request process will be stored and used in a manner that is consistent with applicable laws and Manulife/John Hancock policies. To request a reasonable accommodation in the application process, contact [email protected].

Referenced Salary Location

Working Arrangement

Salary range is expected to be between

Employees also have the opportunity to participate in incentive programs and earn incentive compensation tied to business and individual performance. The actual salary will vary depending on local market conditions, geography and relevant job-related factors such as knowledge, skills, qualifications, experience, and education/training. If you are applying for this role outside of the primary location, please contact [email protected] for the salary range for your location.

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.

We use data and analytics technologies, such as artificial intelligence (AI), and automated processing tools, to analyze and process the information you provide to us or third parties in the application process. For more information, please refer to our personal information collection statement.

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