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Job Title :
Deputy Chief Compliance Officer—Registered Products and Private Markets
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.

Based in the Back Bay of Boston, Massachusetts, the role of Deputy Chief Compliance Officer—Registered Products and Private Markets Compliance will be principally responsible for designing and managing an Investment Company Act of 1940 Rule 38a-1 compliance program for a captive open-end investment company which will invest principally in commercial mortgage loans, private placement debt, and senior leveraged loans. The work for the 38a-1 compliance program will focus on development and implementation of policies and procedures for (i) the fund, (ii) the fund’s affiliated investment adviser, (ii) and the other affiliated internal service providers to the fund. Other key functions will include compliance oversight of the administrator, investment adviser, and other internal and external fund services providers as well as compliance-related reporting to the fund’s board and its regulators. The position will also provide compliance support to Manulife Asset Management Private Markets’ investment advisory business. Manulife Asset Management Private Markets currently serves private fund and institutional separately managed account clients in the following asset classes: mezzanine, public and private debt, senior leveraged loans, private equity, commercial mortgage loans, and real estate. This role will also support general compliance activities related to the investment management activities of the Manulife/John Hancock General Account. The position will report to the Chief Compliance Officer of the fund and its investment adviser.

38a-1 Compliance Program (70%)
    • Lead the initial development and ongoing continuous improvement of the fund’s 38a-1 compliance program (and the investment adviser’s 206(4)-7 fund-related compliance program elements) under the direction of Chief Compliance Officer of the fund and investment adviser.
    • Work closely with law, compliance, finance, operations, and portfolio management functions to develop, document, and administer the fund’s policies and procedures to assure they are (and continue to be) reasonably designed to prevent, detect, and promptly correct violations of the federal securities laws by the fund and its internal and external service providers.
    • Conduct required reviews of the fund and its service providers’ policies and procedures to ensure they adequately address legal obligations as well as existing and potential risks and conflicts of interests associated with the operation of the fund, reviews will include external due diligence activities.
      • Prepare monthly, quarterly, and semi-annual, and annual compliance-related reporting and updates to various constituencies, including the fund’s Chief Compliance Officer, management, and the board.
      • Ensure timely filing of compliance-related fund regulatory filings.
      • Support the fund’s Chief Compliance Officer in the preparation, review and presentation of compliance materials for fund’s audit committee and board meetings.
      • Facilitate certain fund oversight committees and working groups, including the Fund’s Valuation Committee.
      • Direct 38a-1 testing activities (including coordination of certain 38a-1 testing activities with other internal compliance, audit, risk control functions).
      • Ensure 38a-1 related training activities are conducted for in-house personnel supporting the fund’s governance, operational, and investment activities.
      • Oversee the development of controls related to the fund’s 17(d) exemptive order as well as regular testing to ensure compliance with requirements of the SEC order.
      • Ensure maintenance of compliance-related 38a-1 records.
 General Account and Private Markets Compliance Program (20%)
    • The position will also provide compliance leadership and support to Manulife Asset Management Private Markets’ investment advisory business and the proprietary investment activities of the Manulife/John Hancock General Account.
Support Corporate and Investment Division Compliance Initiatives (10%)
    • Provide compliance leadership and support for ad hoc and regular Manulife/John Hancock corporate and Investment Division compliance initiatives, including policy development, internal investigations, and training development.
    • Detail-oriented, motivated, creative problem solver, and an independent thinker.
    • Undergraduate degree or equivalent (background in investment management, finance, law, operations, or audit).
    • 10+ years as a compliance/law/audit professional, with at a minimum 5 years administering/supporting a compliance program that includes Investment Company Act requirements.
    • Advanced understanding of Investment Advisers Act and Investment Company Act and requirements of Rule 38a-1.
    • Familiar with regulatory and business requirements for a mutual fund service provider oversight program (as well as experience developing and/or administering such a program). 
    • Ability to manage highly complex compliance matters with minimal supervision.
    • Excellent interpersonal skills who can interact with employees of all levels and operate well in a collegial insurance company working environment.
    • Experience interacting with regulators, auditors, and fund service providers.
    • Ability to anticipate, monitor and manage compliance risks resulting from various investment activities.
    • Ability to analyze industry regulations; adapt and develop policy and procedures to meet compliance requirements.
    • Strong project management skills.
    • Excellent oral and written communication skills.

This position is subject to the Securities and Exchange Commission’s Pay-to-Play Rule 206(4)-5 regarding political contributions by investment advisors and their covered associates.

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
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