Senior Field Supervision Manager

Senior Field Supervision Manager – Manulife Wealth Inc.

Job Overview: 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 implements an effective compliance culture focused on providing advice and supervision to protect clients, advisory teams, and Manulife Wealth.

Responsibilities

• Perform 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.
• Resolve compliance issues with respect to regulatory guidelines and interpretation of regulations.
• Perform annu...