Director, Global Compliance Testing

We are looking for an experienced and proactive Director to join the Global Compliance Testing team. The successful candidate will lead our regulatory control testing and assurance function for part of our Global Wealth and Asset Management (GWAM) segment. The ideal candidate will have extensive experience with private markets and general accounts, specifically in relation to SEC regulations 206(4)-7 and 38a-1 for Registered Investment Advisers (RIAs) and Registered Investment Companies (RICs). This role will be responsible for developing, implementing, and overseeing a robust compliance testing program to ensure adherence to applicable regulations and internal policies.

Position Responsibilities:

• Lead and manage an effective team of highly skilled compliance professionals.

• Design and implement risk-based compliance test plans for RIAs and RICs, focusing on Private Markets activities.

• Ensure compliance programs align with SEC regulations, particularly 206(4)-7 and 38a-1.

• Prepare detailed reports on compliance testing results and present findings to senior management.

• Collaborate with internal and external stakeholders, including Segment and Entity Chief Compliance Officers, portfolio managers, legal, operations, internal and external auditors, and Global Compliance.

• Foster a culture of compliance and ethical behavior across the organization.

Required Qualifications:

• 10 years of experience in financial services, with 5 years in compliance testing, a related compliance function, audit services, or risk management. Experience at an institutional asset manager is strongly preferred

• Exceptional leadership and communication skills, with experience in managing and developing high-performing teams.

• Bachelor’s degree in Finance, Law, Accounting, Economics, Business Administration, or a related field; advanced degree or relevant certifications (e.g., JD, CPA, CFA, CIA, CFE, IACCP) are a plus.

• Understanding of global regulatory requirements, with a deep understanding of 206(4)-7 and 38a-1. Familiarity with alternative investments: private equity, private credit, infrastructures, timber and agriculture.

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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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

Salary range is expected to be between

If you are applying for this role outside of the primary location, please contact [email protected] for the salary range for your location. 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. Employees also have the opportunity to participate in incentive programs and earn incentive compensation tied to business and individual performance.

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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