Role Description

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 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 partners 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.

Responsibilities:

- Responsible for Tier 1 supervision, approval of daily, monthly, 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 interpretation of regulations.

- Perform annual branch visits 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 explicit rationale and evidence; ensure timely closure of exceptions.

- Oversee delegation of

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