Former Senior Compliance Consultant at John Hancock
Brandeis University, Yale University
- 20+ years in financial services industry
- Former senior compliance consultant at John Hancock
Marc L. Ross has over 20 years of financial services experience. His background includes qualified plan design, sales and implementation, investment advisory, and directorships in third party investment manager research and compliance.
Marc was formerly a senior compliance consultant at John Hancock from 2013 to 2017 and compliance director and registered principal at New England Financial from 2007 to 2013. While at New England Financial, he managed ongoing securities and insurance compliance efforts for a general agency of approximately 75 representatives; he was also part of the internal audit function.
He has experience reviewing trades, conducting compliance reviews, evaluating suitability, ensuring producers' satisfaction of initial and ongoing education requirements, and implementing and following supervisory programs for certain representatives.
Marc holds a BA in Russian from Brandeis University and a MA in Slavic linguistics from Yale. He is a certified CFA, CFP, and CLU.