Overview In this role you will lead and own the Rule 206(4)-7 compliance program for MIMTA, spanning timberland, farmland, and related assets. You will also oversee property management compliance and lead the PE Infrastructure compliance program, operating within a global, cross-border framework. You collaborate with GC, senior investment leadership, and governance committees to embed a strong compliance culture and manage regulatory examinations and changes. Based in Boston on a hybrid arrangement, you will engage with clients, regulators, and internal stakeholders to uphold high standards and achieve firm-wide compliance objectives.
Compensation / Benefits- health, dental, mental health, vision
- short- and long-term disability
- life and AD&D insurance
- retirement plans (pension/401(k
- paid holidays and vacation and personal time
- hybrid work arrangement
Responsibilities- Lead the Rule 206(4)-7 compliance program for MIMTA, including policies, testing, regulatory exams, change management, training, conflicts, and board reporting
- Develop and maintain policies to prevent, detect, and correct securities-law violations; ensure adherence to Advisers Act 206(4)-7 and related regulations
- Align compliance and operational risk across the organization through governance, standardization, testing, and escalation
- Collaborate with General Counsel and senior investment leadership on conflicts governance and disclosure across timberland, agriculture, and infrastructure
- Act as central decision-maker on conflicted transactions with authority to approve or escalate
- Engage with clients and prospects in due diligence discussions on compliance framework and risk management
- Provide matrix reporting of MIMTA AU's CCO to ensure alignment with Australian compliance registrations and governance
- Oversee MIMTA Property Management Compliance program including policies for timberland/farmland operations, testing, change management, training, and filings
- Manage licensing, registration, and marketing reviews for 50+ accounts and 15 funds/feeder funds across US, Luxembourg, and Cayman Islands
- Lead the PE Infrastructure Group's compliance program, strategy, and ongoing improvements within regulatory standards
- Support corporate compliance initiatives, policy development, training, investigations, and reporting
- Develop training and disclosure protocols to reinforce accountability across dispersed teams
- Bridge communication between operating-company management and Manulife stakeholders to maintain independence and transparency
Key requirements- Senior compliance leader with investment management experience
- Minimum 10 years in developing or supporting US Investment Advisers Act 206(4)-7 compliance programs
- Strong SEC regulatory experience and cross-border regulatory understanding
- Experience with regulators and auditors; ability to handle complex compliance matters with minimal supervision
- Comfortable working in a collegial environment and collaborating with executives and boards
- Familiarity with cross-border distribution
- Experience advising private markets investment programs; real asset regulatory matters a plus
- leadership and influence
- collaboration and teamwork
- strong communication and stakeholder engagement
- Rule 206(4)-7 Advisers Act compliance
- regulatory exams management
- policy and procedure design
