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Job Description

The Compliance Director position will be a key contributor to the John Hancock Funds (the "Funds") and John Hancock Advisers' Compliance Program. This individual will work closely with the Senior Director of Investment Compliance to provide leadership to Investment Compliance Staff on all matters pertaining to investment compliance for 1940 Act registered mutual funds, exchange-traded funds and investment advisory products; conduct oversight of the Funds sub-adviser's daily investment compliance guideline monitoring processes; and administer the execution of the Investment Compliance policies and procedures. In addition, the Director will provide compliance support for new business initiatives, as well as internal compliance projects designed to increase efficiency and improve the Funds/Advisers' compliance program. This position will interact regularly with peers in Compliance as well as numerous different stakeholders, including members of John Hancock's Investments, Fund Administration, Risk and Legal departments.

Responsibilities

• Assist the Senior Director in managing Investment Compliance staff; plan, allocate, and monitor work to assure the attainment of department objectives. Maintain a positive, proactive, and professional working environment.
  
  


• Review compliance staff's work papers to ensure the Funds remain in compliance with prospectus, SAI, Investment Company Act of 1940, and IRS diversification requirements.
  
  


• Develop strategic and tactical goals for the team in support of advancing the investment compliance function
  
  


• Coordinate meetings and present to senior management concerning various investment compliance breaches, trade errors, or other compliance matters.
  
  


• Provide training and guidance to the Investment Compliance staff in dealing with complex investment compliance issues
  
  


• Administer departmental policies and procedures to ensure accuracy and minimize risk
  
  


• Interact regularly and collaborate closely with compliance personnel at sub-advisers in resolving investment compliance matters, trade errors, etc.
  
  


• Review and analyze information provided by the sub-advisers and external service providers and prepare Board memos for quarterly Board of Trustees meetings
  
  


• Proactively identify emerging industry- and business-related risks; partner with business colleagues to design mitigating controls
  
  


• Identify enhancements and implement efficiencies within the CCO's Office designed to improve and modernize compliance program
  
  


• Participate and provide compliance support on special projects and new business initiatives as needed
  
  

Qualifications

• 8+ years of experience in a financial services organization, including a minimum of 3 years of management experience
  
  


• Bachelor's degree in Business Administration, Finance, Accounting, Economics, a related field or equivalent business experience
  
  


• Advanced degree (MBA, JD, etc.) preferred
  
  


• Thorough understanding of the rules, regulations, and legal requirements of the SEC's Investment Company Act of 1940 and the Investment Advisers Act of 1940, as well as FINRA regulations
  
  


• Knowledge of Charles River, Bloomberg or other automated investment compliance systems
  
  


• Knowledge of operational matters within a registered adviser, mutual fund complex, fund accounting group and custodian bank
  
  


• Excellent written and verbal communication skills
  
  


• Ability to lead and manage associates and foster staff development
  
  

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About John Hancock and Manulife

John Hancock is a unit of Manulife Financial Corporation, a leading international financial services group that helps people make their decisions easier and lives better. We operate primarily as John Hancock in the United States, and Manulife globally, including Canada, Asia and Europe. We provide financial advice, insurance and wealth and asset management solutions for individuals, groups and institutions. Assets under management and administration by Manulife and its subsidiaries were CAD$1.3 trillion (US$1.1 trillion) as of June 30, 2021. Manulife Financial Corporation trades as MFC on the TSX, NYSE, and PSE, and under 945 on the SEHK. Manulife can be found at manulife.com .

One of the largest life insurers in the United States, John Hancock supports more than 10 million Americans with a broad range of financial products, including life insurance , annuities , investments , 401(k) plans , and education savings plans . Additional information about John Hancock may be found at johnhancock.com .

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 .

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