Senior Compliance Consultant
- Boston, MA US
- Lawyer - Other, Paralegal
- Area of Practice
- Compliance, Financial Services, Regulatory
- Job Type
- Minimum Number of Years in Practice
- 4-10 years
Are you looking for unlimited opportunities to develop and succeed? With work that challenges and makes a difference, within a flexible and supportive environment, we can help our customers achieve their dreams and aspirations.
The Senior Compliance Consultant will provide advertising compliance reviews on behalf of John Hancock Financial Services and its affiliated broker dealers and investment advisor to ensure compliance with applicable SEC and FINRA rules and internal policies.
- Review, approve, and file advertising and other Communications with the Public materials pursuant to broker dealer regulatory rules and requirements including but 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
- 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
- Create and provide training as needed
- May represent Compliance on division-wide or global projects.
- Work with regulators as needed
- Participate in industry forums/working group to stay current on regulatory trends and to stay up to date with what our peers are doing
- 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
- FINRA Series 7 & 24 required; Series 51 preferred
- Thorough 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, separately managed accounts, offshore products and private placements
- Prior advertising review experience
- Advanced understanding of the regulatory environment in which the Company operates and a strong understanding of key compliance requirements applicable to the business.
- Minimum 5 years of related financial services, compliance or management experience.
- Excellent organizational skills and written and verbal communication skills
- Strong ethical compass
- Negotiating and 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
If you are ready to unleash your potential it’s time to start your career with Manulife/John Hancock.
Manulife Financial Corporation is a leading international financial services group that helps people achieve their dreams and aspirations by putting customers' needs first and providing the right advice and solutions. We operate as John Hancock in the United States and Manulife elsewhere. We provide financial advice, insurance, as well as wealth and asset management solutions for individuals, groups and institutions. At the end of 2016, we had approximately 35,000 employees, 70,000 agents, and thousands of distribution partners, serving more than 22 million customers. At the end of 2016, we had $977 billion (US$728 billion) in assets under management and administration, and in the previous 12 months we made almost $26 billion in payments to our customers.
Our principal operations are in Asia, Canada and the United States where we have served customers for more than 100 years. With our global headquarters in Toronto, Canada, we trade as 'MFC' on the Toronto, New York, and the Philippine stock exchanges and under '945' in Hong Kong.
Manulife is committed to supporting a culture of diversity and accessibility across the organization. It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will consult with applicants contacted to participate at any stage of the recruitment process who request an accommodation. Information received regarding the accommodation needs of applicants will be addressed confidentially.