At a Glance
- Tasks: Lead daily supervision and compliance for financial advisors while enhancing their skills.
- Company: Join Manulife, a global leader in financial services with a focus on inclusion.
- Benefits: Enjoy competitive salary, flexible work options, and comprehensive health benefits.
- Other info: Hybrid role with travel opportunities and excellent career growth potential.
- Why this job: Make a real impact in the financial industry while growing your career.
- Qualifications: 5-7 years of compliance experience and strong communication skills required.
The predicted salary is between 71475 - 119125 $ per year.
The Senior Field Supervision Manager is a frontline supervision role responsible for Tier 1 daily supervisory activities for advisors registered with CIRO at Manulife Wealth Inc. The role is responsible for implementing an effective and efficient compliance culture focused on providing advice and supervision to protect clients, the advisory teams and Manulife Wealth. The incumbent also executes complex reviews, manages escalations, and provides training and guidance to advisors and Field Supervision Associates. Senior Managers support both high-value and high-risk advisor offices through onsite visits and partner closely with the Regional Field Supervision Officer and Line 2 Compliance to ensure adherence to CIRO requirements and internal policies. This is a hybrid role. Regular travel to advisor offices within the region is required.
Responsibilities:
- Responsible for Tier 1 supervision, approval of daily, monthly, quarterly trade reports.
- Review and approve new accounts and KYC updates.
- Communicate with advisor teams regarding compliance inquiries.
- Enhance compliance knowledge on regulatory compliance and supervision requirements and processes.
- Assist with investigations related to complaints and regulatory inquiries.
- Assist the firm in resolving compliance issues with respect to regulatory guidelines and interpretation of regulations.
- Perform annual branch visits to foster meaningful and collaborative relationships between advisors and compliance.
Tier 1 Supervision & Complex Reviews:
- Perform daily, monthly, and quarterly trade, suitability, and exception reviews; approve new accounts and KYC updates.
- Handle complex supervisory items (e.g., high-risk products, vulnerable clients, outside activities, conflicts, advertising).
- Document decisions with clear rationale and evidence; ensure timely closure of exceptions.
- Oversee delegation of account-level TI duties to supervision associates while retaining direct TI oversight for strategic advisor partners and specialized high-risk areas.
- Monitor KRIs/KPIs (e.g., exception rates, cycle time, remediation closure) and drive continuous improvement.
- Identify and escalate any areas of non-compliance.
Advisor Support & Training:
- Provide training and education to advisor teams on supervisory expectations and best practices.
- Conduct onsite visits to advisor offices to review processes, remediate gaps, and reinforce controls.
- Communicate clearly and constructively with advisors and branch teams to resolve issues.
- Support advisors with post-audit remediation plans.
Issue Management & Escalation:
- Identify, investigate, and assist with complaint reviews and regulatory inquiries.
- Escalate significant non-compliance to the Regional Field Supervision Officer and Compliance; support remediation plans.
- Contribute to thematic reviews and process improvements.
Cross-Functional Partnership:
- Partner with Compliance, Risk, Legal, and Operations to address supervisory challenges and align practices.
- Participate in audits/exams by preparing documentation and responding to requests.
- Support the roll-out of policy changes and new supervisory or business tools and communication.
Mentorship & Team Collaboration:
- Coach and support Field Supervision Associates, share best practices, and contribute to training materials.
- Actively participate in team meetings, projects, and continuous improvement initiatives.
Qualifications and Skills:
- Registered as Supervisor and Registered Representative with CIRO; ability to maintain registration.
- 5-7+ years of CIRO dealer supervision or related compliance experience, including leadership of supervisory teams.
- Completion of CSC, CPH, Investment Dealer Supervisors Courses.
- Ability to be registered as a Supervisor with CIRO.
- CIM/ RIME and Portfolio Manager Experience preferred.
- Organizational and prioritization skills to be able to work in a multitasking environment.
- Strong knowledge of the financial services industry, the Canadian Regulatory framework, provincial securities legislation and the regulatory requirements of CIRO and the provincial securities regulators.
- Exceptional communication, stakeholder management, negotiation, and influence skills.
- Strong analytical judgment with experience handling complex escalations and remediation.
- Highly developed conflict resolution skills.
- Comfortable making presentations to groups.
- Bilingual English/French an asset.
- Ability to travel regularly within the region required.
If the successful candidate is in Québec, proficiency in both languages will be required to support clients from various provinces outside of Quebec.
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.
Senior Field Supervision 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.
