Elevate your career as a Senior Branch Manager with Manulife in Toronto, Ontario. This hybrid role focuses on supervising advisors, maintaining compliance, and enhancing team knowledge.
In this senior management position, you will directly report to the Regional Field Supervision Officer. Your responsibilities will include Tier 1 supervision of advisors registered with CIRO, training teams, and fostering a compliance culture. You will also assist with regulatory inquiries and investigations enhancing the organization's adherence to guidelines.
Key Responsibilities:
• Oversee Tier 1 supervision and trade report approvals
• Review recent accounts and KYC updates for compliance
• Train advisors on regulatory compliance and processes
• Conduct regular reviews fostering advisor-supervision relationships
• Identify areas of non-compliance and offer solutions
Requirements:
• Registration as Supervisor and Registered Representative with CIRO
• 3-5 years of experience in financial services
• Strong knowledge of compliance regulations
• CIM/RIME and Portfolio Manager experience preferred
• Ability to handle investigations and inquiries
Become a vital part of Manulife's compliance framework, enhancing advisor performance and client protection.
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