Senior Field Supervision Manager

Manulife • Vancouver, BC

2d • Hybrid

About The Position

The Senior Field Supervision Officer 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 Officers 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.

Requirements

• 5-7 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.

Nice To Haves

• Bilingualism (English and French) is a strong asset. If the successful candidate is in Québec, proficiency in both languages will be required to support clients from various provinces outside of Quebec.
• CIM/ RIME and Portfolio Manager Experience.

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.
• 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.
• Deliver training to advisor teams on supervisory expectations, conduct onsite reviews to remediate gaps and reinforce controls, and support post audit remediation.
• Identify and support complaint reviews and regulatory inquiries; escalate significant non-compliance and support remediation; contribute to thematic reviews and process improvements.
• 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.
• Coach and support Field Supervision Associates, share best practices, contribute to training, and participate in team projects and continuous improvement initiatives.

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

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed