Director, Global Compliance Testing

Global Compliance Testing Director

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 :

When You Join Our Team :

Manulife Financial Corporation is a leading international financial services provider, helping people make their decisions easier and lives better.

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, color, 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.