Lead Tier 1 supervision at Manulife Wealth Inc. as a Senior Branch Manager, applying CIRO expertise in a hybrid role with regional travel.
This frontline leadership role supports advisor offices through compliance oversight, complex reviews, escalations, and guidance. You will supervise registered advisors, protect clients and advisory teams, and strengthen compliance practices. The position partners with Regional Field Supervision and Line 2 Compliance.
Key Responsibilities:
- Approve daily, monthly, and quarterly trade reports
- Review new accounts, KYC updates, suitability, and exceptions
- Handle complex supervisory items and document decisions
- Investigate complaints and regulatory inquiries
- Conduct annual onsite branch visits
Requirements:
- Registered Supervisor and Registered Representative with CIRO
- Five to seven-plus years of dealer supervision experience
- CSC, CPH, and Investment Dealer Supervisors Courses completed
- Strong regulatory knowledge and analytical judgment
- Ability to travel regularly within the region
Apply CIRO supervision, complex review, and advisor guidance expertise as Manulife Wealth Inc.'s Senior Branch Manager.
Senior CIRO Branch Compliance Manager in Montréal employer: manulife
Manulife is an exceptional employer that prioritizes employee growth and well-being, offering a flexible work environment where innovation thrives. As a leader in AI Model Risk Governance, you'll have the opportunity to shape industry standards while collaborating with diverse teams across the globe. With a commitment to inclusion and professional development, Manulife empowers you to build a meaningful career in a supportive atmosphere.
