Senior Field Supervision Manager

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 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 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 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 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 & 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: 

• 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.
• 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.

About Manulife and John Hancock

Manulife Financial Corporation is a leading international financial services provider, helping people make their decisions easier and lives better. To learn more about us, visit https://www.manulife.com/en/about/our-story.html.

Manulife is an Equal Opportunity Employer

At Manulife/John Hancock, we embrace our diversity. We strive to attract, develop and retain a workforce that is as diverse as the customers we serve and to foster an inclusive work environment that embraces the strength of cultures and individuals. We are committed to fair recruitment, retention, advancement and compensation, and we administer all of our practices and programs without discrimination on the basis of race, ancestry, place of origin, colour, ethnic origin, citizenship, religion or religious beliefs, creed, sex (including pregnancy and pregnancy-related conditions), sexual orientation, genetic characteristics, veteran status, gender identity, gender expression, age, marital status, family status, disability, or any other ground protected by applicable law.

It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will work with applicants who request a reasonable accommodation during the application process. All information shared during the accommodation request process will be stored and used in a manner that is consistent with applicable laws and Manulife/John Hancock policies. To request a reasonable accommodation in the application process, contact hr@manulife.com.

Referenced Salary Location

CAN, Ontario, Burlington, 5045 South Service Rd, Suite 101Hybrid

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 hr@manulife.com 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 hr@manulife.com 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.