Compliance Consultant

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*** The Compliance Consultant will be part of the Global Distribution Compliance team and provide advertising compliance reviews on behalf of Manulife and John Hancock’s affiliated broker dealers and investment advisor to ensure compliance with applicable SEC and FINRA rules and internal policies.
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* Position Responsibilities:

*** Review, approve, and file advertising and other Communications with the Public materials pursuant to regulatory requirements for the firm’s products and services including mutual funds, 529 plan. ETFs, CITs, SMA, and model portfolios.
* Reviews will include but are not limited to fact sheets, seminars, websites, promotional materials, press releases, educational materials, webinars, articles, social media, client communications, RFPs, newsletter, and print and TV ads.
* Assist with preparation of regulatory filings and revisions
* Participate in projects, as needed, to support the compliance team and business partners
* Act as an individual contributor, set direction, establish goals and manage the tasks assigned
* Establish and maintain strong working relationships with the business units
* Capable of handling advanced compliance work
* Assist team members with tasks and assignments as needed
* Support the development, implementation and maintenance of policies and procedures that enable the firm to remain in compliance with regulatory requirements
* Represent Compliance on segment-wide or global projects.
* Work with regulators as needed
* Participate in industry forums/working group to stay current on regulatory trends and up to date with industry peer standards
* Collaborate with all areas of the organization to ensure compliance needs and business goals are met
* Share best practices with other team members, thus ensuring consistency in the way business/process/products are developed and maintained to be in compliance with regulatory and company requirements
* As a team member of the Global Distribution Compliance Center of Expertise, you will enjoy working and collaborating with different compliance groups who support our different businesses – insurance, retirement, wealth and asset management - and will gain a sound understanding of, and exposure to, the different financial products and services we distribute across the globe.
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* Required Qualifications:

*** FINRA Series 7 and 24 strongly preferred. Candidates may be considered without these licenses but must obtain them within six months. Series 51 is a plus.
* Prior advertising review experience including is recommended
* Understanding of FINRA advertising standards as they apply to the broker-dealer advertising, specifically the Investment Company Act of 1940 and SEC rules as they apply to Investment Advisor advertising, specifically the Investment Advisor Act of 1940
* Extensive knowledge of investment products including mutual funds, variable products, and separately managed accounts.
* Advanced understanding of the regulatory environment in which the Company operates and a strong understanding of key compliance requirements applicable to the business.
* Knowledge and proficiency with AI tools, including the ability to use AI to streamline workflow, analyze information, and support compliance processes.
* Minimum 3-5 years of related financial services, compliance or management experience.
* Excellent organizational skills and written and verbal communication skills
* Strong ethical compass
* Relationship building skills
* Strong project management skills
* Ability to work independently and as part of a team
* Ability to work with all levels of management in the organization.
* Ability to facilitate decision making across groups in the company.
* Ability to analyze information, make appropriate recommendations
* Able to make decisions regarding compliance with limited guidance and assistance.
* Able to…