Senior Branch Compliance Manager

Manulife; Southwestern Ontario; Hybrid; CAD 71,000 - 119,000; Full time

Job summary

Manulife Wealth Inc. in Canada is seeking a Senior Branch Manager to supervise Tier 1 daily activities for CIRO-registered advisors and to execute complex reviews.

You will manage escalations and provide training to advisors and Field Supervisors to sustain a robust compliance culture that protects clients and the firm. This hybrid role requires regular travel to advisor offices within the region, together with collaboration with Regional Field Supervision, Compliance and Legal to ensure CIRO

Qualifications

• CIRO dealer supervision experience.
• 5-7+ years of CIRO supervision or related compliance experience.
• Completion of CSC, CPH, Investment Dealer Supervisors Courses.
• Ability to be registered as a Supervisor with CIRO.
• Strong communication and stakeholder management skills.
• Flexibility to travel regularly within the region.

Responsibilities

• Supervise Tier 1 daily trade reports, and approve new accounts and KYC updates.
• Review complex supervisory items (high-risk products, vulnerable clients, conflicts, advertising).
• Provide training and guidance to advisor teams on supervisory expectations.
• Conduct onsite visits to advisor offices to review processes and remediate gaps.
• Investigate complaints and regulatory inquiries; assist with remediation plans.
• Escalate significant non-compliance and support remediation.

Skills

CIRO supervision

Regulatory compliance

Leadership

Stakeholder management

Training and coaching

Bilingual English/French (asset)

Education

CSC, CPH, Investment Dealer Supervisors Courses

Job description

Manulife Wealth Inc. in Canada is seeking a Senior Branch Manager to supervise Tier 1 daily activities for CIRO-registered advisors and to execute complex reviews.

You will manage escalations and provide training to advisors and Field Supervisors to sustain a robust compliance culture that protects clients and the firm. This hybrid role requires regular travel to advisor offices within the region, together with collaboration with Regional Field Supervision, Compliance and Legal to ensure CIRO