Head of Operations, Personal Investing

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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. 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 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

Please note- active FINRA 7, 24, 63/65/66 licenses are required for the role

• 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
• 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.

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 .

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

Boston, Massachusetts

Modalidades de Trabajo

Híbrido

Se prevé que el rango salarial esté entre

$156,700.00 USD - $290,900.00 USD

Los empleados también tienen la oportunidad de participar en programas de incentivos y recibir una compensación vinculada al rendimiento empresarial e individual. El salario real variará según las condiciones del mercado local, la geografía y factores relacionados con el puesto como conocimientos, habilidades, requerimientos, experiencia y educación/formación. Si solicitas este puesto fuera de tu ubicación principal, por favor escríbenos a [email protected] para conocer el rango salarial correspondiente a tu ubicación.

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.

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

If you have questions about this posting, please contact [email protected]