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 effective 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 current 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 & TrainingDeliver training to advisor teams on supervisory expectations, conduct onsite reviews to remediate gaps and reinforce controls, and support post audit remediation.Issue Management & EscalationIdentify and support complaint reviews and regulatory inquiries; escalate significant non‑compliance and support remediation; contribute to thematic reviews and process improvements.Cross-Functional PartnershipPartner with Compliance, Risk, Legal, and Operations on supervisory matters; support audits bypreparing documentation and responding to requests; assist with policy and tool rollouts.Mentorship & Team CollaborationCoach 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.Benefits- 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.Salary Range$73,725.00 CAD – $122,875.00 CADWorking Arrangement混合式LocationCAN, Ontario, Burlington, 5045 South Service Rd, Suite 101Equal Opportunity Employer宏利是平等機會僱主在宏利／恒康，我們擁抱多元。我們致力於吸引、培養及挽留和所服務客戶同樣多元的員工，並從而營造包容的工作環境，接納文化和個體差異。我們矢志維持公平的招聘、挽留、晉升及薪酬制度，我們管理的所有實踐及項目不會因種族、血統、原籍地、膚色、族裔、國籍、宗教或宗教信仰、信仰、性別（包括懷孕及其相關情況）、性取向、遺傳特徵、退伍軍人身份、性別認同、性別表達、年齡、婚姻狀況、家庭狀況、殘疾或受適用法律保護的任何其他因素而區別對待。我們的首要任務是消除障礙，為員工提供平等就業機會。人力資源部代表將盡力為應徵過程中提出要求的申請人提供合理協助。申請人要求提供協助所分享的信息將會按照適用法律及宏利／恒康政策儲存及使用。應徵過程中如需協助，請聯絡 [email protected]。The role being advertised is an existing vacancy.#J-18808-Ljbffr

📌 Senior Field Supervision Manager - C$73,725 - C$122,875 A Year (Toronto)
🏢 Manulife Wealth
📍 Toronto