Senior Field Supervision Manager

Role Description

The Senior Field Supervision 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 elevate 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, provinci