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 processingClient onboarding and account maintenanceCustody and clearing relationshipsMiddle‑ and back‑office operationsData, reporting, and operational analyticsDesign, implement, and continuously improve operating models, workflows, and procedures that support scalability and efficiency, high‑quality client and advisor experience, strong control and supervision frameworksLead cross‑functional initiatives to streamline processes, reduce operational friction, and improve turnaround times, accuracy, and service levelsOversee vendor and service provider relationships (custodians, clearing firms, technology providers, outsourcing partners) to ensure performance, SLAs, and cost‑effectivenessRisk 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 risksDevelopment and monitoring of key risk indicators (KRIs)Ensure robust internal controls across:Trading and order handlingClient money and asset handlingReconciliations, breaks, and exception managementSupervisory and surveillance processesPartner with Compliance, Legal, and Audit to prepare for and respond to regulatory examinations and inquiries, address audit findings, and implement corrective actions; conduct periodic risk assessments and control testingLead incident management and root‑cause analysis for operational errors, service disruptions, and near misses; drive corrective and preventive actionsMaintain and periodically test business continuity and disaster recovery plansRegulatory & Compliance PartnershipCollaborate closely with the Chief Compliance Officer to ensure operations support full compliance with SEC, FINRA, and state securities regulations, Investment Advisers Act of 1940, and applicable SRO rules and firm policiesEnsure operational processes are aligned with written supervisory procedures, compliance manuals, and code of ethicsOversee the operational components of trade surveillance and supervision support, books and records retention and integrity and reporting (trade reporting, regulatory filings support)Stay current on regulatory changes impacting operations and proactively update processes, systems, and trainingStrategic Planning & ExecutionPartner 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, and 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 opportunitiesTechnology & Process ImprovementOversee core operational technology platforms, including order management and trade processing systems, portfolio accounting and performance reporting and CRM, client portals, and advisor workstationsChampion automation, digitization, and straight‑through processing (STP) to reduce manual touchpoints and error rates, improve scalability and cost efficiency, and enhance client and advisor experienceLead or sponsor major system implementations, integrations, and upgrades, ensuring strong change‑management and user adoptionLeadership & CultureBuild, 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 improvementFoster strong collaboration and communication across Operations, Trading, Compliance, Legal, Finance, Technology, and Sales/Advisory teamsPromote a culture of risk awareness, ethical behavior, and regulatory compliance at all levels of the organizationRequired QualificationsBachelor’s degree, preferably in Business, Finance, Economics, Accounting, or a related field, or equivalent experienceMinimum 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 teamsDemonstrated track record of building or scaling operational infrastructure in a regulated environment and leading risk management and control initiativesExperience working directly with regulators, auditors, and examiners (e.g., SEC, FINRA)Other relevant designations a plus (CFA, CFP, CAIA, FRM, PRM, PMP)When you join our teamWe’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.Benefits Employees also have the opportunity to participate in incentive programs and earn incentive compensation tied to business and individual performance. 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. Eligible employees are offered a wide array of customizable benefits, including health, dental, mental health, vision, short‑ and long‑term disability, life and AD&D insurance coverage, adoption/surrogacy and wellness benefits, employee/family assistance plans, retirement savings plans (including pension/401(k) savings plans and a global share ownership plan with employer matching contributions), and financial education and counseling resources. Paid time off includes up to 11 paid holidays, 3 personal days, 150 hours of vacation, and 40 hours of sick time (or more where required by law) each year, along with statutory leaves of absence.Salary $156,700.00 USD – $290,900.00 USD. Employees also have the opportunity to participate in incentive programs and earn incentive compensation tied to business and individual performance. If you are applying for this role outside of the primary location, please contact for the salary range for your location.Working Arrangement HybridEqual Opportunity Employer Manulife is an Equal Opportunity Employer. At Manulife/John Hancock, we embrace our diversity. We strive to attract, develop and retain a workforce that is as diverse as the customers we serve and to foster an inclusive work environment that embraces the strength of cultures and individuals. We are committed to fair recruitment, retention, advancement and compensation, and we administer all of our practices and programs without discrimination on the basis of race, ancestry, place of origin, colour, ethnic origin, citizenship, religion or religious beliefs, creed, sex (including pregnancy and pregnancy‑related conditions), sexual orientation, genetic characteristics, veteran status, gender identity, gender expression, age, marital status, family status, disability, or any other ground protected by applicable law.It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will work with applicants who request a reasonable accommodation during the application process. All information shared during the accommodation request process will be stored and used in a manner that is consistent with applicable laws and Manulife/John Hancock policies. To request a reasonable accommodation in the application process, contact #J-18808-Ljbffr