Hybrid Senior Field Compliance Leader

Manulife; New Jersey; Hybrid; USD 90,000 - 130,000; Full time

Job summary

Manulife is seeking a Senior Field Supervision Manager to lead Tier 1 supervision for CIRO-regulated advisors. The role emphasizes compliance culture, complex reviews, and training within hybrid work settings across the region.

You will oversee trade reviews, KYC approvals, investigations, and remediation efforts, collaborating with Compliance, Risk, Legal, and Operations, while supporting field supervision associates.

Qualifications

• 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.
• Strong knowledge of the Canadian regulatory framework and CIRO requirements.

Responsibilities

• Perform Tier 1 supervision, daily, monthly, and quarterly trade reviews; approve new accounts and KYC updates.
• Handle complex supervisory items (high-risk products, vulnerable clients, outside activities, conflicts, advertising).
• Document decisions with clear rationale and ensure timely closure of exceptions.
• Oversee delegation of TI duties while retaining oversight for strategic partners and high-risk areas.
• Monitor KRIs/KPIs and drive continuous improvement.
• Identify and upscale any areas of non-compliance.

Skills

CIRO supervision

Leadership

Training & guidance

Regulatory knowledge

Communication

Regional travel

Education

CSC

CPH

Investment Dealer Supervisors Courses

Job description

Manulife is seeking a Senior Field Supervision Manager to lead Tier 1 supervision for CIRO-regulated advisors. The role emphasizes compliance culture, complex reviews, and training within hybrid work settings across the region.

You will oversee trade reviews, KYC approvals, investigations, and remediation efforts, collaborating with Compliance, Risk, Legal, and Operations, while supporting field supervision associates.