The Opportunity:The Senior Branch Manager is a supervision management position within Manulife Wealth. The Senior Branch Manager is responsible for providing Daily Tier 1 supervision of advisors registered with the Canadian Investment Regulatory Organization (CIRO).
This position reports directly to the Regional Field Supervision Officer for their region and is expected to encourage and foster a compliance culture focused on providing advice and supervision to protect clients, dealer and advisors.
Position Responsibilities:- Responsible for Tier 1 supervision, approval of daily, monthly, quarterly trade reports
- Review and approve new accounts and KYC updates.
- Provide training and education to advisor teams regarding compliance.
- 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 reviews to foster meaningful and collaborative relationships between advisors and Supervision.
- Identify and escalate any areas of non-compliance.
- Build on the strength of the Supervision team by actively participating in team meetings, contributing toward team goals and participating on projects.
Required Qualifications:- Ability to be registered as a Supervisor and Registered Representative with CIRO
- Professional background in the financial services industry preferably with a CIRO dealer (minimum of 3-5 years).
Preferred Qualifications:- CIM/ RIME and Portfolio Manager Experience preferred
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.
The role being advertised is an existing vacancy.
Referenced Salary LocationToronto, Ontario
Working ArrangementHybrid
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 [redacted] 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 [redacted] for more information about U.S.-specific paid time off provisions.
