Skip to main content

Job ID:

Job Category:


Job Type:

Date Posted:

Apply Now >>    
Job Title :
Compliance Examiner
Job ID :
Category :
Legal & Compliance
Location :
Boston, MA US
Job Type :
Full Time
Posted On :
Job Description :

Are you looking for unlimited opportunities to develop and succeed?  With work that challenges and makes a difference and a flexible and supportive environment, we can help our customers achieve their dreams and aspirations.


Key Focus:


Participates in field market conduct and home office compliance examination to ensure business units and Firms are complying with internal and external rules and regulations.


Major Responsibilities:

  • Conducts the annual Broker Dealer and Investment Advisor supervisory control audit based on risk classification.
  • Conducts Office of Supervisory Jurisdiction and Registered Branch Office market conduct examinations.
  • Strict adherence to corporate travel policy is required
  • Performs other projects and tasks as assigned


  • Responsible for completing all tasks assigned by their deadline while staying within budget.
  • Failure to do so may compromise the Firm’s ability to meet regulatory requirements which may result penalties including but not limited to fines, and industry sanctions.

Problem Solving / Complexity

  • Ability to multi task and meet multiple project deadlines.
  • Requires independent work with guidance from management.   Sound judgment and decision-making skills are a must.
  • Capacity to coordinate travel and work schedules are required.


  • Must manage time well and be flexible while adhering to strict deadlines in a consistently changing work environment.
  • 40%-50% Travel


  • Attention to detail, organization.  Good verbal and written communication skills required
  • Must be dependable and trustworthy and able work independently
  • Some inductive reasoning and analytical skills required, particularly when working in a remote location

Education & Licensing:

  • Bachelor’s Degree
  • FINRA Series 7 & 24 required


  •  2+ years industry experience
About John Hancock Financial and Manulife
John Hancock is a division of Manulife Financial Corporation, a leading international financial services
group that helps people achieve their dreams and aspirations by putting customers’ needs first and
providing the right advice and solutions. We operate primarily as John Hancock in the United States, and
Manulife elsewhere. 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 over $1.04 trillion (US$829.4 billion) as of December 31, 2017. Manulife Financial Corporation trades as MFC on the TSX, NYSE, and PSE, and under 945 on the SEHK. Manulife can be found at
One of the largest life insurers in the United States, John Hancock supports approximately 10.7 million
Americans with a broad range of financial products, including life insurance, annuities, investments,
401(k) plans, and college savings plans. We also offer advice through Signator, a network of independent
financial advisors. Additional information about John Hancock may be found at
Agency submissions and contacts are by invitation only and must be initiated by John Hancock's Recruiting Department only.  Unsolicited agency submissions will not be honored.


Legal & Compliance
Apply Now >>    
Link for schema


Any personal information you provide through this site will be privy only to Manulife for the purpose of evaluating your qualifications and experience. At all times, your personal information will be protected by the application of our Privacy Policy.