Field Supervision Analyst

Manulife•Montreal, QC

5d•Hybrid

About The Position

The Field Supervision Analyst is a mid-level frontline supervision role responsible for executing Tier 1 daily supervisory activities from a Manulife office location in the assigned region. The role focuses on routine reviews, documentation quality, and timely escalation, supporting Senior Field Supervision Managers and the Regional Field Supervision Officer. The incumbent will ensure adherence to CIRO requirements and internal policies while building upon a strong supervisory foundation and expertise. This is a hybrid role. Work is primarily performed from Manulife offices across the country; travel is limited and typically not required.

Requirements

Registered as Supervisor and Registered Representative with CIRO; ability to maintain registration.
2-4+ 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.
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.
Detail-oriented with solid organizational and prioritization skills.
Strong analytical judgment with experience handling complex escalations and remediation.

Nice To Haves

Bilingual English/French an asset.

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.
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 daily, monthly, and quarterly reviews of trades, suitability, and exception queues under defined thresholds.
Review and process new accounts and KYC updates; ensure documentation completeness and accuracy.
Maintain clear records of supervisory decisions and evidence; meet service-level timelines.
Identify and escalate any areas of non-compliance.
Respond to routine advisor inquiries related to supervisory processes and requirements.
Provide guidance using established playbooks and job aids; escalate complex questions to Senior Officers.
Support training logistics and distribution of communications and attestations.
Communicate clearly and constructively with advisors and branch teams to resolve issues.
Identify potential non-compliance issues and escalate promptly to Senior Managers or the Regional Officers.
Assist with data gathering for investigations, complaints, and regulatory inquiries.
Ongoing contribution to remediation tracking and follow-up.
Participate in team meetings and contribute ideas to streamline workflows.
Adopt new tools and procedures; provide feedback on usability and training needs.
Maintain high standards of accuracy, timeliness, and professionalism.