The Senior Field Supervision Manager 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 Managers 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.
The role requires the candidate be fluent in Cantonese and Mandarin
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 recent 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 T1 duties to supervision associates while retaining direct T1 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; escalate 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:**
The role requires the candidate be fluent in Cantonese and Mandarin
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.
Ability to be registered as a Supervisor with CIRO.
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.
Proficiency in Cantonese and/or Mandarin.
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.
**When you join our team:**
We’ll empower you to learn and grow the career you want.
We’ll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
As part of our global team, we’ll support you in shaping the future you want to see.
#LI-Hybrid
The role being advertised is an existing vacancy.
**Giới thiệu về Manulife và John Hancock**
Tập đoàn Manulife Financial là nhà cung cấp dịch vụ tài chính quốc tế hàng đầu giúp mọi người quyết định dễ dàng hơn và có cuộc sống vẹn toàn hơn. Để tìm hiểu thêm về chúng tôi, hãy truy cập
https://www.manulife.com.vn/ .
**Manulife là Nhà sử dụng lao động không phân biệt đối xử**
Tại Manulife/John Hancock, chúng tôi luôn đón nhận sự đa dạng.
Chúng ta cố gắng thu hút, phát triển và duy trì lực lượng lao động đa dạng tương tự như những khách hàng mà chúng ta phục vụ, đồng thời thúc đẩy một môi trường làm việc hòa nhập, đề cao thế mạnh của từng nền văn hóa và cá nhân.
Chúng ta cam kết tuyển dụng, duy trì, thăng tiến và trả lương một cách công bằng. Đồng thời,
chúng ta quản lý tất cả các hoạt động và chương trình của mình mà không phân biệt đối xử dựa trên chủng tộc, dòng họ, xuất thân, màu da, nguồn gốc dân tộc, quyền công dân, tôn giáo hoặc tín ngưỡng tôn giáo, đức tin, giới tính (bao gồm phụ nữ mang thai và các tình trạng liên quan đến mang thai), xu hướng tính dục, đặc điểm di truyền, tình trạng cựu chiến binh, bản dạng giới, biểu hiện giới, tuổi tác, tình trạng hôn nhân, tình trạng gia đình, khuyết tật hoặc bất kỳ căn cứ nào khác được pháp luật hiện hành bảo vệ.
Ưu tiên của chúng ta là loại bỏ các rào cản để đem lại cơ hội tiếp cận việc làm bình đẳng. Đại diện Bộ phận Nhân sự sẽ làm việc với những ứng viên có yêu cầu điều chỉnh hợp lý trong quá trình ứng tuyển. Tất cả thông tin được chia sẻ trong quá trình yêu cầu điều chỉnh sẽ được lưu trữ và sử dụng tuân theo pháp luật hiện hành và chính sách của Manulife/John Hancock. Để yêu cầu điều chỉnh hợp lý trong quá trình ứng tuyển, hãy liên hệ với
[email protected] .
**Referenced Salary Location**
Vancouver, British Columbia
**Working Arrangement**
Kết hợp
**Salary range is expected to be between**
$73,725.00 CAD - $122,875.00 CAD
Employees also have the opportunity to participate in incentive programs and earn incentive compensation tied to business and individual performance.
The actual salary will vary depending on local market conditions, geography and relevant job-related factors such as knowledge, skills, qualifications, experience, and education/training.
If you are applying for this role outside of the primary location, please contact
[email protected]
for the salary range for your location.
Manulife offers eligible employees a wide array of customizable benefits, including health, dental, mental health, vision, short- and long-term disability, life and AD&D; insurance coverage, adoption/surrogacy and wellness benefits, and employee/family assistance plans.
We also offer eligible employees various retirement savings plans (including pension and a global share ownership plan with employer matching contributions) and financial education and counseling resources.
Our generous paid time off program in Canada includes holidays, vacation, personal, and sick days, and we offer the full range of statutory leaves of absence.
If you are applying for this role in the U.S., please contact
[email protected]
for more information about U.S.-specific paid time off provisions.
We use data and analytics technologies, such as artificial intelligence (AI), and automated processing tools, to analyze and process the information you provide to us or third parties in the application process.
For more information, please refer to our personal information collection statement (https://careers.manulife.com/global/en/talentacquisitionprivacystatement) .
📌 Senior Field Supervision Manager (Vancouver)
🏢 Manulife
📍 Vancouver