John Hancock · 13 hours ago
Compliance Director
Boston, MA
Full-time
Hybrid
Senior Level, Lead/Staff
$129K/yr - $223K/yr
10+ years expJohn Hancock is a leading international financial services provider, and they are seeking a Compliance Director to lead compliance initiatives within their U.S. Retail Compliance team. This role involves providing strategic guidance on compliance policies and overseeing adherence to regulatory requirements for investment products.
Financial ServicesMedicalSecurity
Responsibilities
Provide compliance leadership and strategic guidance on a complex ’40 Act registered product platform that includes: Mutual Funds, ETFs, SMAs, and alternative products such as Interval and Tender Offer Funds
Support the development, implementation, and oversight of compliance policies, procedures, and testing programs in accordance with Rules 38a-1 and 206(4)-7
Prepare and present compliance reports for the Funds’ independent Board of Trustees
Review complex Fund co-investment transactions for adherence to regulatory requirements
Assist in the remediation of Adviser and Fund compliance issues
Manage Fund-related due diligence inquiries and intermediary engagements
Oversee regulatory filings for the Funds and multiple registered investment advisers
Perform Fund and Adviser Code of Ethics oversight, monitoring and reporting
Collaborate with a team of compliance professionals responsible for internal compliance testing and exception reporting
Partner with Legal, Risk and Compliance colleagues to manage corrective action plans and ensure regulatory compliance across all business functions
Maintain a project management framework to track and report on compliance, regulatory and technology initiatives
Represent Compliance in committees and participate in cross-functional and global initiatives
Qualification
Required
10+ years of experience in investment operations, compliance, auditing, or regulatory roles within the asset management or mutual fund industry
Deep knowledge of the Investment Company Act of 1940 and the Investment Advisers Act of 1940 and related compliance practices
Strong understanding of U.S. investment/securities products, operations, and regulatory frameworks
Proven ability to lead teams, manage complex projects, and influence senior stakeholders
Excellent written and verbal communication skills
Proficiency in Microsoft 365 and compliance systems
Preferred
Advanced degree in Accounting, Finance, Business, or a related field
Experience with exchange traded and/or alternative products
Ability to distill key insights into visually appealing formats for leadership and board-level communication
Strategic leadership and relationship-building skills with cross-functional teams
Benefits
Health
Dental
Mental health
Vision
Short- and long-term disability
Life and AD&D insurance coverage
Adoption/surrogacy and wellness benefits
Employee/family assistance plans
Various retirement savings plans (including pension/401(k) savings plans and a global share ownership plan with employer matching contributions)
Financial education and counseling resources
Up to 11 paid holidays
3 personal days
150 hours of vacation
40 hours of sick time (or more where required by law)
The full range of statutory leaves of absence
Company
John Hancock
John Hancock provides financial solutions, including life insurance, mutual funds, and long-term care insurance.
10001+ employees
Funding
Current Stage
Late StageLeadership Team
H
Hector Martinez
Head of Insurance
Recent News
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2025-12-13
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