Senior Field Supervision Manager

Job Description

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

Required Skills