Job Title

The Senior Field Supervision Officer is a frontline supervisor 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 Officers support both high-value and high-risk advisor offices through onsite visits and partner 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. Position Responsibilities Responsible for Tier 1 supervision, approval of daily, monthly, and 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 the interpretation of regulations. Perform annual branch reviews 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 escalate any areas of non-compliance. Advisor Support & Training Deliver training to advisor teams on supervisory expectations, conduct onsite reviews to remediate gaps and reinforce controls, and support post audit remediation. Issue Management & Escalation Identify and support complaint reviews and regulatory inquiries; upscale significant non-compliance and support remediation; contribute to thematic reviews and process improvements. Cross-Functional Partnership Partner with Compliance, Risk, Legal, and Operations on supervisory matters; support audits by preparing documentation and responding to requests; assist with policy and tool rollouts. Mentorship & Team Collaboration Coach and support Field Supervision Associates, share best practices, contribute to training, and participate in team projects and continuous improvement initiatives. Required Qualifications 5-7 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. 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. Ability to travel regularly within the region is required. Preferred Qualifications CIM/ RIME and Portfolio Manager Experience. 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 ms fcil y a vivir mejor. Para obtener ms informacin acerca de nosotros, visite 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 retencin de talento, el ascenso y la remuneracin, y administramos todas nuestras prcticas y programas sin discriminacin por motivos de raza, ascendencia, lugar de origen, color, origen tnico, ciudadana, religin o creencias religiosas, credo, sexo (incluyendo el embarazo y las afecciones relacionadas con este), orientacin sexual, caractersticas genticas, condicin de veterano, identidad de gnero, expresin de gnero, 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 trabajar con los solicitantes que requieran una adaptacin razonable durante el proceso de solicitud. Toda la informacin que se haya compartido durante el proceso de solicitud de adaptacin se almacenar y utilizar de manera congruente con las leyes y las polticas de Manulife/John Hancock correspondientes. Para solicitar una adaptacin razonable en el proceso de solicitud, envenos un mensaje a . Referenced Salary Location CAN, Ontario, Burlington, 5045 South Service Rd, Suite 101 Modalidades de Trabajo Hbrido Salary range is expected to be between $73,725.00 CAD - $122,875.00 CAD Los empleados tambin tienen la oportunidad de participar en programas de incentivos y recibir una compensacin vinculada al rendimiento empresarial e individual. El salario real variar segn las condiciones del mercado local, la geografa y factores relacionados con el puesto como conocimientos, habilidades, requerimientos, experiencia y educacin/formacin. Si solicitas este puesto fuera de tu ubicacin principal, por favor escrbenos a para conocer el rango salarial correspondiente a tu ubicacin. Manulife ofrece a los empleados aptos una amplia variedad de beneficios personalizables, entre ellos, beneficios de salud, odontolgicos, de salud mental, oftalmolgicos, por discapacidad a corto y a largo plazo, cobertura de seguro de vida y por muerte accidental y desmembramiento, adopcin/subrogacin y bienestar, y planes de asistencia al empleado/familiar. Tambin ofrecemos a los empleados admisibles varios planes de ahorro para la jubilacin (incluidos planes de pensiones y un plan mundial de propiedad de acciones con contribuciones equivalentes del empleador) y recursos de asesoramiento y educacin financiera. Nuestro generoso programa de tiempo libre remunerado en Canad incluye feriados, vacaciones, das personales y das por enfermedad, y ofrecemos la gama completa de ausencia laboral reglamentaria. Si se est postulando para este puesto en los EE. UU., pngase en contacto con para obtener ms informacin sobre las disposiciones relativas al tiempo libre remunerado especficas de EE. UU. 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