Wealth Branch Compliance & Advisor Leader

Manulife/John Hancock; Toronto; Hybrid; CAD 74,000 - 123,000; Full time

Job summary

Manulife/John Hancock in Toronto, Ontario, is seeking a Senior Branch Manager to provide Daily Tier 1 supervision of CIRO-registered advisors. The role reports to the Regional Field Supervision Officer and focuses on fostering a compliant culture that protects clients, dealers, and advisors.

Responsibilities include approving daily, monthly, quarterly trade reports, reviewing accounts and KYC updates, delivering training on compliance, and conducting annual branch reviews.

Qualifications

• Ability to be registered as a Supervisor and Registered Representative with CIRO.
• Professional background in the financial services industry preferably with a CIRO dealer (minimum of 3-5 years).
• CIM/ RIME and Portfolio Manager Experience preferred.

Responsibilities

• Responsible for Tier 1 supervision, approval of daily, monthly, quarterly trade reports Review and approve new accounts and KYC updates.
• Provide training and education to advisor teams regarding compliance.
• 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 reviews to foster meaningful and collaborative relationships between advisors and Supervision.
• Identify and elevate any areas of non-compliance.
• Build on the strength of the Supervision team by actively participating in team meetings, contributing toward team goals and participating on projects.

Skills

CIRO registration

Regulatory supervision

Financial services

Job description

Manulife/John Hancock in Toronto, Ontario, is seeking a Senior Branch Manager to provide Daily Tier 1 supervision of CIRO-registered advisors. The role reports to the Regional Field Supervision Officer and focuses on fostering a compliant culture that protects clients, dealers, and advisors.

Responsibilities include approving daily, monthly, quarterly trade reports, reviewing accounts and KYC updates, delivering training on compliance, and conducting annual branch reviews.