Senior Branch Manager

The Senior Field Supervision Manager is a frontline supervisor 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.Position Responsibilities
Responsible for Tier 1 supervision, approval of daily, monthly, and 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 the interpretation of regulations.
Perform annual branch reviews 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 T1 duties to supervision associates while retaining direct T1 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 elevate any areas of non-compliance.
Advisor Support & Training:
Deliver training to advisor teams on supervisory expectations, conduct onsite reviews to remediate gaps and reinforce controls, and support post audit remediation.Issue Management & Escalation: Identify and support complaint reviews and regulatory inquiries;
elevate significant non-compliance and support remediation;
contribute to thematic reviews and process improvements.Cross-Functional Partnership:
Partner with Compliance, Risk, Legal, and Operations on supervisory matters;
support audits by preparing documentation and responding to requests;
assist with policy and tool rollouts.Mentorship & Team Collaboration:
Coach and support Field Supervision Associates, share best practices, contribute to training, and participate in team projects and continuous improvement initiatives.Required Qualifications
3-5 years of CIRO dealer supervision or related compliance experience, including leadership of supervisory teams.
Registered as a Supervisor and Registered Representative with CIRO;
ability to maintain registration.
Completion of CSC, CPH, Investment Dealer Supervisors Courses.
Ability to be registered as a Supervisor with CIRO.
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.
Ability to travel regularly within the region is required.
Preferred Qualifications
CIM/ RIME and Portfolio Manager Experience.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.
#LI-HybridThe role being advertised is an existing vacancy.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 View email address on ca.hrm.tc .Referenced Salary Location
Vancouver, British ColumbiaModalidades de Trabajo
HíbridoSalary range is expected to be between
$73,725.00 CAD - $122,875.00 CADLos 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 View email address on ca.hrm.tc para conocer el rango salarial correspondiente a tu ubicación.Manulife 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 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 tiempo libre remunerado en Canadá incluye feriados, vacaciones, días personales y días por enfermedad, y ofrecemos la gama completa de ausencia laboral reglamentaria. Si se está postulando para este puesto en los EE. UU., póngase en contacto con View email address on ca.hrm.tc para obtener más información sobre las disposiciones relativas al tiempo libre remunerado específicas de EE. UU.We use data and analytics technologies, such as artificial intelligence (AI), and automated processing tools, to analyze and process the information you provide to us or third parties in the application process. For more information, please refer to our personal information collection statement ( .
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