Head of Operations, Personal Investing
Manulife Insurance Malaysia, Boston, Massachusetts, us, 02298
***Nous utilisons des*
*pour fournir des statistiques qui nous aident à vous offrir la meilleure expérience sur note site. Vous y trouverez des renseignements sur les témoins, ou vous pouvez les désactiver si vous préférez. Toutefois, en continuant d’utiliser le site sans modifier les paramètres, vous consentez à notre utilisation de*****Position Responsibilities:****Operational Leadership**
Provide strategic and hands-on leadership of all operational functions supporting the broker-dealer and RIA, including:* Trade operations and processing* Client onboarding and account maintenance* Custody and clearing relationships* Middle- and back-office operations* Data, reporting, and operational analytics* Design, implement, and continuously improve operating models, workflows, and procedures that support: Scalability and efficiency, High-quality client and advisor experience, Strong control and supervision frameworks* Lead cross-functional initiatives to streamline processes, reduce operational friction, and improve turnaround times, accuracy, and service levels.* Oversee vendor and service provider relationships (custodians, clearing firms, technology providers, outsourcing partners) to ensure performance, SLAs, and cost-effectiveness.**Risk Management & Controls**
Own and enhance the operational risk management framework for both the broker-dealer and RIA entities, including:* Identification, assessment, and mitigation of operational, reputational, and conduct risks* Development and monitoring of key risk indicators (KRIs)Ensure robust internal controls across:* Trading and order handling* Client money and asset handling* Reconciliations, breaks, and exception management* Supervisory and surveillance processes* Partner with Compliance, Legal, and Audit to Prepare for and respond to regulatory examinations and inquiries and address audit findings and implement corrective actions. You will also conduct periodic risk assessments and control testing* Lead incident management and root-cause analysis for operational errors, service disruptions, and near misses; drive corrective and preventive actions.* Maintain and periodically test business continuity and disaster recovery plans.**Regulatory & Compliance Partnership*** Collaborate closely with the Chief Compliance Officer (CCO) to ensure operations support full compliance with SEC, FINRA, and state securities regulations, Investment Advisers Act of 1940 and applicable SRO rules and firm policies* Ensure operational processes are aligned with written supervisory procedures (WSPs), compliance manuals, and code of ethics.* Oversee the operational components of trade surveillance and supervision support, books and records retention and integrity an reporting (e.g., trade reporting, regulatory filings support)* Stay current on regulatory changes impacting operations and proactively update processes, systems, and training.**Strategic Planning & Execution**
Partner with the business head and leadership team to define and execute the strategic plan, including:* Scaling the platform and onboarding new advisors* Launching new products, services, and platforms* Expanding into new client segments or geographiesDevelop and manage the operations budget, including:* Headcount/resource planning* Technology and systems investments* Vendor and outsourcing strategyUse data and analytics to:* Track KPIs across operations and service delivery* Inform decision-making and resource allocation* Identify trends, risks, and opportunities**Technology & Process Improvement*** Oversee core operational technology platforms, including: Order management and trade processing systems, portfolio accounting and performance reporting and CRM, client portals, and advisor workstations* Champion automation, digitization, and straight-through processing (STP) to reduce manual touchpoints and error rates, improve scalability and cost efficiency and enhance client and advisor experience* Lead or sponsor major system implementations, integrations, and upgrades, ensuring strong change-management and user adoption.**Leadership & Culture*** Build, lead, and develop a high-performing operations team with clear goals and accountability, professional development and cross-training and a culture of ownership, transparency, and continuous improvement* Foster strong collaboration and communication across the following, Operations, Trading, Compliance, Legal, Finance, Technology, and Sales/Advisory teams* Promote a culture of risk awareness, ethical behavior, and regulatory compliance at all levels of the organization.**Required Qualifications:*** Bachelor’s degree, preferably in Business, Finance, Economics, Accounting, or a related field or equivalent experience.* Minimum 12–15 years of progressive experience in financial services operations, with significant experience within a broker-dealer and/or RIA environment (preferably both).* At least 7–10 years in leadership roles managing multi-functional operations teams.* Demonstrated track record of: Building or scaling operational infrastructure in a regulated environment. leading risk management and control initiatives* Working directly with regulators, auditors, and examiners (e.g., SEC, FINRA* FINRA 7, 24, 63/65/66* Other relevant designations a plus (e.g., CFA, CFP, CAIA, FRM, PRM, PMP).***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.**À propos de Manuvie et de John Hancock**La Société Financière Manuvie est un chef de file mondial des services financiers qui aide les gens à prendre leurs décisions plus facilement et à vivre mieux. Pour en apprendre plus à notre sujet, rendez vous à l’adresse .**Manuvie est un employeur qui souscrit au principe de l’égalité d’accès à l’emploi**Chez Manulife/John Hancock nous valorisons notre diversité. Nous nous efforçons d’attirer, de perfectionner et de maintenir une main d'oeuvre qui est aussi diversifiée que nos clients, et de favoriser la création d’un milieu de travail inclusif qui met à profit la diversité de nos employés et les compétences de chacun. Nous nous engageons à assurer un recrutement, une fidélisation, une promotion et une rémunération équitables, et nous administrons toutes nos pratiques et tous nos programmes sans discrimination en raison de la race, de l’ascendance, du lieu d’origine, de la couleur, de l’origine ethnique, de la citoyenneté, de la religion ou des croyances ou des convictions religieuses, du genre (y compris grossesse et affection liée à une grossesse), de l’orientation sexuelle, des caractéristiques génétiques, du statut d’ancien combattant, de l’identité de genre, de l’expression de genre, de l’âge, de l’état matrimonial, de la situation de famille, d’une invalidité ou de tout autre motif protégé par la loi applicable.Nous nous sommes donné comme priorité d’éliminer les obstacles à l’accès égalitaire à l’emploi. C’est pourquoi un représentant des Ressources humaines collaborera avec les candidats qui demandent accommodement raisonnable pendant le recrutement. Tous les renseignements communiqués pendant le processus de demande d'accommodement seront stockés et utilisés conformément aux lois et aux politiques applicables de Manuvie. Pour demander une mesure d’accommodement raisonnable dans le cadre du recrutement, écrivez à recruitment@manulife.com.**Referenced Salary Location**Boston, Massachusetts**Modalités de travail**Hybride**Salary range is expected to be between**$156,700.00 USD - $290,900.00 USDSi vous posez votre candidature à ce poste en dehors de la région principale, veuillez écrire à recruitment@manulife.com pour obtenir l’échelle salariale correspondant à votre région. Le salaire #J-18808-Ljbffr
*pour fournir des statistiques qui nous aident à vous offrir la meilleure expérience sur note site. Vous y trouverez des renseignements sur les témoins, ou vous pouvez les désactiver si vous préférez. Toutefois, en continuant d’utiliser le site sans modifier les paramètres, vous consentez à notre utilisation de*****Position Responsibilities:****Operational Leadership**
Provide strategic and hands-on leadership of all operational functions supporting the broker-dealer and RIA, including:* Trade operations and processing* Client onboarding and account maintenance* Custody and clearing relationships* Middle- and back-office operations* Data, reporting, and operational analytics* Design, implement, and continuously improve operating models, workflows, and procedures that support: Scalability and efficiency, High-quality client and advisor experience, Strong control and supervision frameworks* Lead cross-functional initiatives to streamline processes, reduce operational friction, and improve turnaround times, accuracy, and service levels.* Oversee vendor and service provider relationships (custodians, clearing firms, technology providers, outsourcing partners) to ensure performance, SLAs, and cost-effectiveness.**Risk Management & Controls**
Own and enhance the operational risk management framework for both the broker-dealer and RIA entities, including:* Identification, assessment, and mitigation of operational, reputational, and conduct risks* Development and monitoring of key risk indicators (KRIs)Ensure robust internal controls across:* Trading and order handling* Client money and asset handling* Reconciliations, breaks, and exception management* Supervisory and surveillance processes* Partner with Compliance, Legal, and Audit to Prepare for and respond to regulatory examinations and inquiries and address audit findings and implement corrective actions. You will also conduct periodic risk assessments and control testing* Lead incident management and root-cause analysis for operational errors, service disruptions, and near misses; drive corrective and preventive actions.* Maintain and periodically test business continuity and disaster recovery plans.**Regulatory & Compliance Partnership*** Collaborate closely with the Chief Compliance Officer (CCO) to ensure operations support full compliance with SEC, FINRA, and state securities regulations, Investment Advisers Act of 1940 and applicable SRO rules and firm policies* Ensure operational processes are aligned with written supervisory procedures (WSPs), compliance manuals, and code of ethics.* Oversee the operational components of trade surveillance and supervision support, books and records retention and integrity an reporting (e.g., trade reporting, regulatory filings support)* Stay current on regulatory changes impacting operations and proactively update processes, systems, and training.**Strategic Planning & Execution**
Partner with the business head and leadership team to define and execute the strategic plan, including:* Scaling the platform and onboarding new advisors* Launching new products, services, and platforms* Expanding into new client segments or geographiesDevelop and manage the operations budget, including:* Headcount/resource planning* Technology and systems investments* Vendor and outsourcing strategyUse data and analytics to:* Track KPIs across operations and service delivery* Inform decision-making and resource allocation* Identify trends, risks, and opportunities**Technology & Process Improvement*** Oversee core operational technology platforms, including: Order management and trade processing systems, portfolio accounting and performance reporting and CRM, client portals, and advisor workstations* Champion automation, digitization, and straight-through processing (STP) to reduce manual touchpoints and error rates, improve scalability and cost efficiency and enhance client and advisor experience* Lead or sponsor major system implementations, integrations, and upgrades, ensuring strong change-management and user adoption.**Leadership & Culture*** Build, lead, and develop a high-performing operations team with clear goals and accountability, professional development and cross-training and a culture of ownership, transparency, and continuous improvement* Foster strong collaboration and communication across the following, Operations, Trading, Compliance, Legal, Finance, Technology, and Sales/Advisory teams* Promote a culture of risk awareness, ethical behavior, and regulatory compliance at all levels of the organization.**Required Qualifications:*** Bachelor’s degree, preferably in Business, Finance, Economics, Accounting, or a related field or equivalent experience.* Minimum 12–15 years of progressive experience in financial services operations, with significant experience within a broker-dealer and/or RIA environment (preferably both).* At least 7–10 years in leadership roles managing multi-functional operations teams.* Demonstrated track record of: Building or scaling operational infrastructure in a regulated environment. leading risk management and control initiatives* Working directly with regulators, auditors, and examiners (e.g., SEC, FINRA* FINRA 7, 24, 63/65/66* Other relevant designations a plus (e.g., CFA, CFP, CAIA, FRM, PRM, PMP).***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.**À propos de Manuvie et de John Hancock**La Société Financière Manuvie est un chef de file mondial des services financiers qui aide les gens à prendre leurs décisions plus facilement et à vivre mieux. Pour en apprendre plus à notre sujet, rendez vous à l’adresse .**Manuvie est un employeur qui souscrit au principe de l’égalité d’accès à l’emploi**Chez Manulife/John Hancock nous valorisons notre diversité. Nous nous efforçons d’attirer, de perfectionner et de maintenir une main d'oeuvre qui est aussi diversifiée que nos clients, et de favoriser la création d’un milieu de travail inclusif qui met à profit la diversité de nos employés et les compétences de chacun. Nous nous engageons à assurer un recrutement, une fidélisation, une promotion et une rémunération équitables, et nous administrons toutes nos pratiques et tous nos programmes sans discrimination en raison de la race, de l’ascendance, du lieu d’origine, de la couleur, de l’origine ethnique, de la citoyenneté, de la religion ou des croyances ou des convictions religieuses, du genre (y compris grossesse et affection liée à une grossesse), de l’orientation sexuelle, des caractéristiques génétiques, du statut d’ancien combattant, de l’identité de genre, de l’expression de genre, de l’âge, de l’état matrimonial, de la situation de famille, d’une invalidité ou de tout autre motif protégé par la loi applicable.Nous nous sommes donné comme priorité d’éliminer les obstacles à l’accès égalitaire à l’emploi. C’est pourquoi un représentant des Ressources humaines collaborera avec les candidats qui demandent accommodement raisonnable pendant le recrutement. Tous les renseignements communiqués pendant le processus de demande d'accommodement seront stockés et utilisés conformément aux lois et aux politiques applicables de Manuvie. Pour demander une mesure d’accommodement raisonnable dans le cadre du recrutement, écrivez à recruitment@manulife.com.**Referenced Salary Location**Boston, Massachusetts**Modalités de travail**Hybride**Salary range is expected to be between**$156,700.00 USD - $290,900.00 USDSi vous posez votre candidature à ce poste en dehors de la région principale, veuillez écrire à recruitment@manulife.com pour obtenir l’échelle salariale correspondant à votre région. Le salaire #J-18808-Ljbffr