indeed
Senior Field Supervision Manager
Manulife
Montréal, CAN
Full-time
Senior
Hybrid
$71,475
Discovered 1 weeks ago
CIRO supervisory registrationCIRO Registered Representative registrationCIRO dealer supervisionTrade supervision and reviewSuitability and exception reviewsKYC review
Free
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CIRO supervisory registrationCIRO Registered Representative registrationCIRO dealer supervision
Role Overview
The Senior Field Supervision Manager is a frontline Tier 1 supervision role for advisors registered with CIRO at Manulife Wealth Inc.
The role supports an effective compliance culture, performs complex reviews, manages escalations, and provides guidance to advisors and Field Supervision Associates.
The role is hybrid and requires regular travel to advisor offices within the region.
Key Skills for This Role
CIRO supervisory registrationCIRO Registered Representative registrationCIRO dealer supervisionTrade supervision and reviewSuitability and exception reviewsKYC review
Full Job Posting
Role Description
The Senior Field Supervision Manager is a frontline Tier 1 supervision role for advisors registered with CIRO at Manulife Wealth Inc.
The role supports an effective compliance culture, performs complex reviews, manages escalations, and provides guidance to advisors and Field Supervision Associates.
The role is hybrid and requires regular travel to advisor offices within the region.
Tier 1 Supervision and Reviews
- Perform daily, monthly, and quarterly trade, suitability, and exception reviews and approve new accounts and KYC updates.
- Handle complex items involving high-risk products, vulnerable clients, outside activities, conflicts, and advertising.
- Document decisions with clear rationale and evidence and ensure timely closure of exceptions.
- Oversee delegated account-level Tier 1 duties while retaining direct oversight of strategic and high-risk areas.
- Monitor KRIs and KPIs and drive continuous improvement.
- Identify and escalate non-compliance.
Advisor Support and Training
- Provide training and education to advisor teams on supervisory expectations and best practices.
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