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 productive 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. Regular travel to advisor offices within the region is required. Responsible for Tier 1 supervision, approval of daily, monthly, quarterly trade reports.

Review and approve new accounts and KYC updates. 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. Tier 1 Supervision & Complex Reviews approve new accounts and KYC updates. high-risk products, vulnerable clients, outside activities, conflicts, advertising). Oversee delegation of account-level TI duties to supervision associates while retaining direct TI oversight for strategic advisor partners and specialized high-risk areas. exception rates, cycle time, remediation closure) and drive continuous improvement.

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. 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.

Partner with Compliance, Risk, Legal, and Operations to address supervisory challenges and align practices. Support the roll-out of policy changes and new supervisory or business tools and communication. Coach and support Field Supervision Associates, share best practices, and contribute to training materials.

Actively participate in team meetings, projects, and continuous improvement initiatives. 5-7+ years of CIRO dealer supervision or related compliance experience, including leadership of supervisory teams. ~ CIM/ RIME and Portfolio Manager Experience preferred. ~ 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. ~ Bilingual English/French an asset. ~ Ability to travel regularly within the region required. ~ Bilingualism (English and French) is an asset. If the successful candidate is in Québec, proficiency in both languages will be required to support clients from various provinces outside of Quebec. 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.

📌 Senior Field Supervision Manager (Montreal)
🏢 Manulife
📍 Montreal