Senior Branch Manager
Manulife•Montreal, QC
•CA$71,475 - CA$119,125•Hybrid
About The Position
The Senior Branch Manager is a supervision management position within Manulife Wealth. The Senior Branch Manager is responsible for providing Daily Tier 1 supervision of advisors registered with the Canadian Investment Regulatory Organization (CIRO). This position reports directly to the Regional Field Supervision Officer for their region and is expected to encourage and foster a compliance culture focused on providing advice and supervision to protect clients, dealer and advisors.
Requirements
- Ability to be registered as a Supervisor and Registered Representative with CIRO
- Professional background in the financial services industry preferably with a CIRO dealer (minimum of 3-5 years).
Nice To Haves
- Bilingual, English and French, spoken and written is considered an asset.
- CIM/ RIME and Portfolio Manager Experience preferred
- The successful candidate will be required to communicate in English and French in order to support clients from various jurisdictions outside of Quebec.
Responsibilities
- Responsible for Tier 1 supervision, approval of daily, monthly, quarterly trade reports
- Review and approve new accounts and KYC updates.
- Provide training and education to advisor teams regarding compliance.
- 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 reviews to foster meaningful and collaborative relationships between advisors and Supervision.
- Identify and escalate any areas of non-compliance.
- Build on the strength of the Supervision team by actively participating in team meetings, contributing toward team goals and participating on projects.
Benefits
- health
- dental
- mental health
- vision
- short- and long-term disability
- life and AD&D insurance coverage
- adoption/surrogacy and wellness benefits
- employee/family assistance plans
- various retirement savings plans (including pension and a global share ownership plan with employer matching contributions)
- financial education and counseling resources
- holidays
- vacation
- personal
- sick days
- full range of statutory leaves of absence
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What This Job Offers
Job Type
Full-time
Career Level
Manager
Education Level
No Education Listed
