Senior Branch Manager

Manulife; Southwestern Ontario; Híbrido; CAD 71.000 - 119.000; Jornada completa

Descripción de la vacante

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

Formación

• 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.

Responsabilidades

• 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.

Conocimientos

CIRO supervision

Regulatory compliance

Leadership

Stakeholder management

Training and coaching

Bilingual English/French (asset)

Educación

CSC, CPH, Investment Dealer Supervisors Courses

Descripción del empleo

Role Description

The Senior Branch Manager is a frontline supervision role 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 Managers support both high-value and high-risk advisor offices through onsite visits and partners 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.

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.

• 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 visits to foster meaningful and collaborative relationships between advisors and compliance.

Tier 1 Supervision & Complex Reviews:

• 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 escalation any areas of non-compliance.

Advisor Support & Training:

• Provide training and education to advisor teams on supervisory expectations and best practices.

• Conduct onsite visits to advisor offices to review processes, remediate gaps, and reinforce controls.

• Communicate clearly and constructively with advisors and branch teams to resolve issues.

• Support advisors with post-audit remediation plans.

Issue Management & Escalation:

• Identify, investigate, and assist with complaint reviews and regulatory inquiries.

• Escalate significant non-compliance to the Regional Field Supervision Officer and Compliance; support remediation plans.

• Contribute to thematic reviews and process improvements.

Cross-Functional Partnership:

• Partner with Compliance, Risk, Legal, and Operations to address supervisory challenges and align practices.

• Participate in audits/exams by preparing documentation and responding to requests.

• Support the roll-out of policy changes and new supervisory or business tools and communication.

Mentorship & Team Collaboration:

• Coach and support Field Supervision Associates, share best practices, and contribute to training materials.

• Actively participate in team meetings, projects, and continuous improvement initiatives.

Qualifications and Skills:

• Registered as Supervisor and Registered Representative with CIRO; ability to maintain registration.

• 5-7+ 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.

• CIM/ RIME and Portfolio Manager Experience preferred.

• 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.

• Bilingual English/French an asset.

• Ability to travel regularly within the region required.

Bilingualism (English and French) is an asset. If the successful candidate is in Québec, proficiency in both languages will be required to support clients from various provinces outside of Quebec.

When you join our team:

• We’ll empower you to learn and grow the career you want.

• We’ll recognize and support you in a flexible environment where well-being and inclusion are more than just words.

• As part of our global team, we’ll support you in shaping the future you want to see.

The role being advertised is an existing vacancy.

Acerca de Manulife y John Hancock

Manulife Financial Corporation es un importante proveedor internacional de servicios financieros que ayuda a las personas a tomar decisiones de una manera más fácil y a vivir mejor. Para obtener más información acerca de nosotros, visite http://www.manulife.com .

Manulife es un empleador que ofrece igualdad de oportunidades

En Manulife/John Hancock, valoramos nuestra diversidad. Nos esforzamos por atraer, formar y retener una fuerza laboral tan diversa como los clientes a los que prestamos servicios, y para fomentar un entorno laboral inclusivo en el que se aprovechen las fortalezas de las culturas y las personas. Estamos comprometidos con la equidad en las contrataciones, la retención de talento, el ascenso y la remuneración, y administramos todas nuestras prácticas y programas sin discriminación por motivos de raza, ascendencia, lugar de origen, color, origen étnico, ciudadanía, religión o creencias religiosas, credo, sexo (incluyendo el embarazo y las afecciones relacionadas con este), orientación sexual, características genéticas, condición de veterano, identidad de género, expresión de género, edad, estado civil, estatus familiar, discapacidad, o cualquier otro aspecto protegido por la ley vigente.

Nuestra prioridad es eliminar las barreras para garantizar la igualdad de acceso al empleo. Un representante de Recursos Humanos trabajará con los solicitantes que requieran una adaptación razonable durante el proceso de solicitud. Toda la información que se haya compartido durante el proceso de solicitud de adaptación se almacenará y utilizará de manera congruente con las leyes y las políticas de Manulife/John Hancock correspondientes. Para solicitar una adaptación razonable en el proceso de solicitud, envíenos un mensaje a [e-mail] .

Referenced Salary Location

Montreal, Quebec

Modalidades de Trabajo

Híbrido

Salary range is expected to be between

$71,475.00 CAD - $119,125.00 CAD

Los empleados también tienen la oportunidad de participar en programas de incentivos y recibir una compensación vinculada al rendimiento empresarial e individual. El salario real variará según las condiciones del mercado local, la geografía y factores relacionados con el puesto como conocimientos, habilidades, requerimientos, experiencia y educación/formación. Si solicitas este puesto fuera de tu ubicación principal, por favor escríbenos a [e-mail] para conocer el rango salarial correspondiente a tu ubicación.

Manulife ofrece a los empleados aptos una amplia variedad de beneficios personalizables, entre ellos, beneficios de salud, odontológicos, de salud mental, oftalmológicos, por discapacidad a corto y a largo plazo, cobertura de seguro de vida y por muerte accidental y desmembramiento, adopción/subrogación y bienestar, y planes de asistencia al empleado/familiar. También ofrecemos a los empleados admisibles varios planes de ahorro para la jubilación (incluidos planes de pensiones y un plan mundial de propiedad de acciones con contribuciones equivalentes del empleador) y recursos de asesoramiento y educación financiera. Nuestro generoso programa de tiempo libre remunerado en Canadá incluye feriados, vacaciones, días personales y días por enfermedad, y ofrecemos la gama completa de ausencia laboral reglamentaria. Si se está postulando para este puesto en los EE. UU., póngase en contacto con [e-mail] para obtener más información sobre las disposiciones relativas al tiempo libre remunerado específicas de EE. UU.

We use data and analytics technologies, such as artificial intelligence (AI), and automated processing tools, to analyze and process the information you provide to us or third parties in the application process. For more information, please refer to our personal information collection statement (https://careers.manulife.com/global/en/talentacquisitionprivacystatement) .