The Opportunity:
The Head of Operations, Personal Investing is a senior executive responsible for the overall operational strategy, execution, and risk management of the firm’s broker-dealer and RIA businesses. This role oversees day‑to‑day operations, ensures regulatory compliance, drives process efficiency, and partners with executive leadership to support sustainable growth, strong client service, and a robust control environment.
The Head of Operations, Personal Investing will be a key member of the leadership team, working closely with functional leaders and business line leaders to align operations with the firm’s strategic objectives.
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.
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 and 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 geographies
Develop and manage the operations budget, including:
Headcount/resource planning
Technology and systems investments
Vendor and outsourcing strategy
Use 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 and 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.
マニュライフとジョン・ハンコックについて マニュライフ・ファイナンシャル・コーポレーションは、「あなたの未来に、わかりやすさを」を提供する、国際的な大手金融サービスプロバイダーです。当社について詳しくは、 https://www.manulife.co.jp/ をご覧ください。
マニュライフは機会均等を是とする雇用主です マニュライフ/ジョン・ハンコックでは、多様性を受け入れます。私たちは、サービス提供先であるお客さまと同様に、多様な人材を引きつけ、育成し、定着させ、文化や個人の力を受け入れる包括的な職場環境を促進するよう努めています。当社は公正な採用、定着、昇進、報酬に努めています。当社のすべての慣行およびプログラムは、人種、祖先、出身地、肌の色、民族的出身、市民権、宗教または宗教的信念、信条、性別（妊娠および妊娠関連の状態を含む）、性的指向、遺伝的特徴、退役軍人としての地位、性自認、性に関する表明、年齢、婚姻状況、家族状況、障害、または適用法で保護されるその他の要因に対する一切の差別を行うことなく管理されます。
Referenced Salary Location Boston, Massachusetts
Working Arrangement ハイブリッド勤務
Salary range is expected to be between $156,700.00 USD - $290,900.00 USD
If you are applying for this role outside of the primary location, please contact recruitment@manulife.com for the salary range for your location. The actual salary will vary depending on local market conditions, geography and relevant job-related factors such as knowledge, skills, qualifications, experience, and education/training. Employees also have the opportunity to participate in incentive programs and earn incentive compensation tied to business and individual performance.
Know Your Rights Know Your Rights | Family & Medical Leave | Employee Polygraph Protection | Right to Work | E-Verify
Company: John Hancock Life Insurance Company (U.S.A.)
#J-18808-Ljbffr
The Head of Operations, Personal Investing will be a key member of the leadership team, working closely with functional leaders and business line leaders to align operations with the firm’s strategic objectives.
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.
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 and 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 geographies
Develop and manage the operations budget, including:
Headcount/resource planning
Technology and systems investments
Vendor and outsourcing strategy
Use 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 and 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.
マニュライフとジョン・ハンコックについて マニュライフ・ファイナンシャル・コーポレーションは、「あなたの未来に、わかりやすさを」を提供する、国際的な大手金融サービスプロバイダーです。当社について詳しくは、 https://www.manulife.co.jp/ をご覧ください。
マニュライフは機会均等を是とする雇用主です マニュライフ/ジョン・ハンコックでは、多様性を受け入れます。私たちは、サービス提供先であるお客さまと同様に、多様な人材を引きつけ、育成し、定着させ、文化や個人の力を受け入れる包括的な職場環境を促進するよう努めています。当社は公正な採用、定着、昇進、報酬に努めています。当社のすべての慣行およびプログラムは、人種、祖先、出身地、肌の色、民族的出身、市民権、宗教または宗教的信念、信条、性別（妊娠および妊娠関連の状態を含む）、性的指向、遺伝的特徴、退役軍人としての地位、性自認、性に関する表明、年齢、婚姻状況、家族状況、障害、または適用法で保護されるその他の要因に対する一切の差別を行うことなく管理されます。
Referenced Salary Location Boston, Massachusetts
Working Arrangement ハイブリッド勤務
Salary range is expected to be between $156,700.00 USD - $290,900.00 USD
If you are applying for this role outside of the primary location, please contact recruitment@manulife.com for the salary range for your location. The actual salary will vary depending on local market conditions, geography and relevant job-related factors such as knowledge, skills, qualifications, experience, and education/training. Employees also have the opportunity to participate in incentive programs and earn incentive compensation tied to business and individual performance.
Know Your Rights Know Your Rights | Family & Medical Leave | Employee Polygraph Protection | Right to Work | E-Verify
Company: John Hancock Life Insurance Company (U.S.A.)
#J-18808-Ljbffr