24 days old

Senior Investment Compliance Analyst

John Hancock
Boston, MA 02109
  • Job Code
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.

Job Description

The core job responsibility for a Senior Investment Compliance Analyst is to monitor the John Hancock Group of Funds, including sub-adviser oversight within a manager of managers structure. To ensure the funds remain in compliance with their Prospectus/SAI, Investment Company Act of 1940, and IRS tax diversification requirements, overseeing the sub-advisers investment compliance monitoring, sub-adviser oversight including due diligence reviews and facilitating the sub-adviser quarterly Trustee reporting process.

Key Accountabilities:

  • Review compliance alerts and warnings generated by Charles River on a daily basis. Research each issue and report breaches and other significant findings to the Investment Compliance management team

  • Complete the annual prospectus/SAI guideline review and facilitate changes to Charles River, as needed

  • Assist the CCOs Office in sub-adviser oversight, including participation in due diligence meetings, sub-adviser outreach, enhancements to policies and procedures (as necessary), and continued monitoring of sub-adviser risk practices.

  • Participate in the preparation of periodic Management and Board reporting

  • Prepare monthly compliance folders, including results of all automated and manual fund guideline rules in accordance with departmental procedures

  • Review monthly compliance packages prepared by the sub-advisers to determine if the sub-advisers are properly monitoring each funds investment restrictions or have reported any compliance breaches

  • Complete IRS tax proofs on a quarterly basis

  • Review peers monthly compliance folders and IRS tax proofs to ensure they have been completed in accordance with departmental procedures and properly document potential breaches

  • Assists senior level team members with additional routine and more senior tasks and assignments (i.e. data management, CRD upgrades, new sub-adviser on boarding)

  • Complete low to medium complexity investment compliance projects as needed

  • Act as a resource for the Investment Compliance Analysts and other Fund Administration employees for more in-depth information, problem solving, and evaluating information

  • Communicate and provide guidance to sub-advisers regarding compliance issues and/or reporting requests

  • Assist in the training and mentoring of less senior Investment Compliance Analysts

  • Handle compliance department tasks within established guidelines for quality and timeliness under the close supervision of a senior team member

  • Begin to build strong working relationships with compliance and business partners


  • Bachelors degree in Accounting or Finance, or equivalent work experience

  • Minimum 3 years of related financial services experience

  • Working knowledge of the 1940 Act registered products and compliance practices.

  • Basic understanding of the regulatory environment in which the Company operates and some understanding of key compliance concepts.

  • Ability to work in a time sensitive environment

  • Solid technology skills; knowledge of or ability to learn applicable compliance or business systems

  • Solid analytical and problem-solving skills.

  • Solid written and verbal communication skills. Use these skills while working with BU partners and with different levels of the organization.

  • Strong organizational skills

  • Strong ethical compass

  • Developing negotiating, influencing, and relationship building skills.

  • Ability to represent business internally (our department) and externally (outside our department) within the company.

  • Ability to work with minimal supervision

  • Working knowledge of Microsoft Excel and Word

Key Differentiator:

  • Prior experience in Investment Compliance, Adviser Compliance, Fund Accounting or Fund Administration

  • Relies on instruction and pre-established procedures to perform the duties of the position.

  • Ability to effectively communicate issues to Investment Compliance Management


If you are ready to unleash your potential, its time to start your career with Manulife/John Hancock.

About Manulife

Manulife Financial Corporation is a leading international financial services group that helps people make their decisions easier and lives better. With our global headquarters in Toronto, Canada, we operate as Manulife across our offices in Canada, Asia, and Europe, and primarily as John Hancock in the United States. We provide financial advice, insurance, and wealth and asset management solutions for individuals, groups and institutions. At the end of 2020, we had more than 37,000 employees, over 98,000 agents, and thousands of distribution partners, serving over 30 million customers. As of December 31, 2020, we had $1.3 trillion (US$1.0 trillion) in assets under management and administration, and in the previous 12 months we made $31.6 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 155years. We trade as 'MFC' on the Toronto, New York, and the Philippine stock exchanges and under '945' in Hong Kong.

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 recruitment@manulife.com .

E EO is the Law I Family & Medical Leave I Employee Polygraph Protection I Right to Work I E-Verify I Pay Transparency

Posted: 2021-03-26 Expires: 2021-04-24
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Senior Investment Compliance Analyst

John Hancock
Boston, MA 02109

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