Compliance Consultant
Job Description
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.
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 busin...