Senior Field Compliance Supervisor

Manulife

Calgary

Hybrid

CAD 74,000 - 123,000

Full time

3 days ago

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Benefits offered by this job

Hybrid work model

Travel opportunities

Job summary

Manulife Wealth Inc. is seeking a Senior Field Supervision Manager to lead Tier 1 supervision for CIRO-registered advisors.

You will oversee daily and periodic trade reviews, ensure compliant account openings, and guide advisory teams to uphold a strong regulatory culture across the region. This hybrid role requires onsite visits, travel within the region, and hands-on mentorship of Field Supervision Associates, with collaboration across Compliance, Risk, Legal, and Operations to remediate

Qualifications

3-5 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.
Strong knowledge of the Canadian regulatory framework and CIRO requirements.

Responsibilities

Perform Tier 1 supervision and approve daily, monthly, and quarterly trade reports.
Review and approve new accounts and KYC updates.
Communicate with advisor teams regarding compliance inquiries.
Conduct annual branch reviews to support adherence to policies.
Oversee complex reviews for high-risk products and conflicts.
Mentor Field Supervision Associates and drive process improvements.