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Manulife is a leading international financial services provider, helping people make decisions easier and lives better. Help shape the future you want to see — and discover that better can take you anywhere you want to go.

Job Description:

Based in New York City or Boston, the role of Chief Compliance Officer—Manulife Investment Management Private Markets Registered Funds and CQS (US), LLC has the following two principal responsibilities.

Responsible for the design and management of a SEC Rule 38a-1 compliance program for two registered investment companies, a business development company, and future private markets funds regulated under the Investment Company Act of 1940 (the “RICs”). The RICs currently invest in privately originated middle market senior loans and US commercial mortgage real estate loans.

Responsible for the design and management of a SEC 206(4)-7 compliance program for CQS (US), LLC (“CQS (US)”). CQS (US) provides investment management services to certain privately offered onshore and offshore pooled investment vehicles investing in alternative credit, including asset-backed securities, investment grade and high yield corporate credit (including senior secured loans and convertible bonds), and equities.

Addition to reporting to the Global Chief Compliance Officer—Manulife Investment Management Private Markets and Manulife General Account Investments, the person will also report to external boards of trustees of the RICs as well as the Global Chief Compliance Officer—CQS.

Responsibilities:

Manulife Investment Management Private Markets 38a-1 Compliance Program

+ Responsible for the adoption, implementation, testing, and oversight of each RIC’s 38a-1 compliance program as well as supporting the associated investment adviser SEC Rule 206(4)-7 related compliance program elements.

+ Conduct required reviews of the RICs and their 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 RICs, reviews will include compliance-related due diligence activities.

+ Conduct manual pre-transaction compliance reviews and analysis of commercial mortgage loan and senior loan transactions for compliance with the terms of each RIC’s investment guidelines, the firm’s SEC 17(d) co-investment exemptive order, and Investment Company Act requirements.

+ Prepare quarterly and annual compliance-related reporting and updates to various constituencies, including the boards of each RIC, Manulife management, and various investment adviser oversight governance committees.

+ Work closely with law, compliance, finance, operations, and portfolio management functions to develop, document, and administer 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 RICs and its service providers.

CQS US 206(4)-7 Compliance Program

+ Provide compliance leadership and manage a sound Rule 206(4)-7 compliance program for CQS (US), including testing, management of regulatory examinations, training, conflict management, and regulatory filings. CQS (US) currently provides discretionary and non-discretionary investment services to certain privately offered pooled investment vehicles under the laws of (among others) the Cayman Islands, Delaware, and Ireland. Certain sub-advisory services are provided to registered investment companies.

+ Work closely with executive management, legal, and portfolio management functions to proactively address private transaction and capital position potential conflicts of interest.

Support Corporate and Other Compliance Initiatives

+ Provide compliance leadership and support for ad hoc and regular Manulife/CQS corporate and compliance initiatives, including policy development, oversight committee management, internal investigations, and training development.

Job Requirements:

+ A senior compliance leader with investment management experience, practical commercial instincts, and a demonstrable track record of working successfully with investment, operations, finance, legal, and compliance professionals as well as executive leadership and boards of directors.

+ Substantial experience providing compliance and/or legal support to one or more of the following investment programs, direct commercial mortgage lending, asset-backed securities, investment grade and high yield corporate credit (including senior secured loans and convertible bonds) and/or equities.

+ Strong SEC regulatory experience and an understanding of interplay of US investment management requirements with foreign regulatory regimes in order to deliver practical cross-border regulatory compliance solutions. Experience interacting with regulators, auditors, and fund service providers (including experience with regulatory examinations).

+ Comfortable managing highly complex compliance matters with minimal supervision and ability to anticipate, monitor, and manage compliance risks resulting from various investment activities.

+ A minimum of 10 years of substantial experience developing, executing, or supporting an Investment Advisers Act 206(4)-7 and/or Investment Company Act 38a-1 compliance program/s. Regulated business development company experience a plus but not required. Additional experience with SEC Rule 17(d) exemptive co-investment orders also a plus.

+ Familiarity with cross-border distribution issues.

+ Depending on location of hire (New York City or Boston), regular travel to Boston or New York City will be required to oversee direct reports and local compliance activities.

+ Experience in handling regulatory/compliance matters related to CFTC-licensed commodity pool operators. Experience in a principal role with the National Futures Association is also a plus.

When You Join Our Team

+ We’ll empower you to learn and grow the career you want.

+ We’ll recognize and support you in a flexible environment where well-being and inclusion are more than just words.

+ As part of our global team, we’ll support you in shaping the future you want to see.

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, colour, 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.

This job description is not a comprehensive listing of all job duties required for this role. We reserve the right to change these duties or assign additional duties at any time with or without notice.

Acerca de Manulife y John Hancock

Manulife Financial Corporation es un importante proveedor internacional de servicios financieros que ayuda a las personas a tomar decisiones de una manera más fácil y a vivir mejor. Para obtener más información acerca de nosotros, visite http://www.manulife.com .

Manulife es un empleador que ofrece igualdad de oportunidades

En Manulife/John Hancock, valoramos nuestra diversidad. Nos esforzamos por atraer, formar y retener una fuerza laboral tan diversa como los clientes a los que prestamos servicios, y para fomentar un entorno laboral inclusivo en el que se aprovechen las fortalezas de las culturas y las personas. Estamos comprometidos con la equidad en las contrataciones, la retención de talento, el ascenso y la remuneración, y administramos todas nuestras prácticas y programas sin discriminación por motivos de raza, ascendencia, lugar de origen, color, origen étnico, ciudadanía, religión o creencias religiosas, credo, sexo (incluyendo el embarazo y las afecciones relacionadas con este), orientación sexual, características genéticas, condición de veterano, identidad de género, expresión de género, edad, estado civil, estatus familiar, discapacidad, o cualquier otro aspecto protegido por la ley vigente.

Nuestra prioridad es eliminar las barreras para garantizar la igualdad de acceso al empleo. Un representante de Recursos Humanos trabajará con los solicitantes que requieran una adaptación razonable durante el proceso de solicitud. Toda la información que se haya compartido durante el proceso de solicitud de adaptación se almacenará y utilizará de manera congruente con las leyes y las políticas de Manulife/John Hancock correspondientes. Para solicitar una adaptación razonable en el proceso de solicitud, envíenos un mensaje a [email protected] .

Ubicación principal

USA, New York, New York, 1251 Avenue of the Americas,, Suite 2300

Modalidades de Trabajo

Híbrido

Se prevé que el rango salarial esté entre

$148,400.00 USD - $275,500.00 USD

Si se está postulando para este puesto fuera de la ubicación principal, póngase en contacto con [email protected] para conocer el rango salarial de su ubicación. El salario real variará según las condiciones locales del mercado, la geografía y los factores relacionados con el trabajo pertinentes, como conocimiento, habilidades, calificaciones, experiencia y educación/capacitación. Los empleados también tienen la oportunidad de participar en programas de incentivos y obtener una compensación de incentivos vinculada al desempeño comercial e individual.

Manulife/John Hancock ofrece a los empleados aptos una amplia variedad de beneficios personalizables, entre ellos, beneficios de salud, odontológicos, de salud mental, oftalmológicos, por discapacidad a corto y a largo plazo, cobertura de seguro de vida y por muerte accidental y desmembramiento, adopción/subrogación y bienestar, y planes de asistencia al empleado/familiar. También ofrecemos a los empleados admisibles varios planes de ahorro para la jubilación (incluidos planes de ahorro 401(k) o de pensiones y un plan mundial de propiedad de acciones con contribuciones equivalentes del empleador) y recursos de asesoramiento y educación financiera. Nuestro generoso programa de días libres pagos en EE. UU. contempla hasta 11 días festivos, 3 días personales, 150 horas de vacaciones y 40 horas de licencia por enfermedad (o más cuando lo exija la ley) por año, y ofrecemos todos los tipos de licencias contempladas por la ley.

Conozca sus derechos (https://www.dol.gov/agencies/ofccp/posters)

Permiso Familiar y Médico

Ley de Protección del Empleado contra el Examen Poligráfico (https://www.dol.gov/sites/dolgov/files/WHD/legacy/files/eppac.pdf)

Derecho al Trabajo

Verificación Electrónica (E-** **Verify** **)

Transparencia Salarial (https://www.dol.gov/sites/dolgov/files/ofccp/pdf/pay-transp\_%20English\_formattedESQA508c.pdf)

Company: John Hancock Life Insurance Company (U.S.A.)