Investment Compliance Analyst

About the role

John Hancock is hiring a non-exempt Investment Compliance Analyst in Boston to monitor the compliance activities of the John Hancock Group of Funds, including sub-adviser and service provider oversight within a manager of managers structure. The role ensures the funds stay compliant with their Prospectus/SAI, the Investment Company Act of 1940 and IRS tax diversification requirements, and supports the Office of the Chief Compliance Officer in its mission to comply with federal securities laws.

Key responsibilities

• Review daily compliance alerts and warnings generated by Charles River, research each issue and report breaches and significant findings to the Investment Compliance management team.
• Complete the annual prospectus/SAI guideline review and facilitate changes to Charles River rule coding as needed.
• Assist the CCO's Office in sub-adviser and service provider oversight, including due diligence meetings, outreach, policy and procedure improvements and ongoing monitoring of risk practices.
• Prepare periodic compliance documentation (daily, weekly, monthly) covering automated and manual fund guideline rules, and take part in Management and Board reporting.
• Take part in sub-adviser 15c reviews, IRS tax compliance testing on a quarterly basis, and SEC Rules 38a-1 and 206(4)-7 testing of policies and procedures.
• Peer review compliance documentation, assist with regulatory filings, and help senior team members with data management and new sub-adviser onboarding.
• Complete medium to high complexity compliance projects and guide sub-advisers on compliance issues and reporting requests.

Required profile

• 1+ years of experience in the mutual fund industry.
• Bachelor's degree or above.
• General understanding of the mutual fund industry and its supporting functions (compliance, operations, fund accounting).
• Eagerness to learn, including the 1940 Act and the Charles River Compliance System.
• Ability to follow documented procedures carefully, with a risk-averse and compliant mindset.

Required skills

• 1+ years of experience using compliance monitoring systems, Microsoft Excel and AI tools.
• Strong verbal and written communication and collaboration skills.

What we offer

• Expected salary range of $53,250 to $88,750 USD, with incentive compensation tied to performance.
• Customizable benefits including health, dental, mental health, vision, life and disability insurance, retirement savings plans and paid time off.
• Flexible, hybrid work arrangement.