Senior Field Supervision Manager

Job summary

Lead Tier 1 supervision for registered advisors, including trade and suitability reviews, account and KYC approvals, complex reviews, exception management, and escalation of compliance concerns. Support and train advisors and supervision associates, conduct branch visits, assist with investigations and remediation, and partner with Compliance, Risk, Legal, and Operations to strengthen supervisory practices.

Job details

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 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: Provide training and education to advisor teams on supervisory expectations and best practices. Conduct onsite visits to advisor offices to review processes, remediate gaps, and reinforce controls. Communicate clearly and constructively with advisors and branch teams to resolve issues. Support advisors with post-audit remediation plans. Issue Management & Escalation: Identify, investigate, and assist with complaint reviews and regulatory inquiries. Escalate significant non-compliance to the Regional Field Supervision Officer and Compliance; support remediation plans. Contribute to thematic reviews and process improvements. Cross-Functional Partnership: Partner with Compliance, Risk, Legal, and Operations to address supervisory challenges and align practices. Participate in audits/exams by preparing documentation and responding to requests. Support the roll-out of policy changes and new supervisory or business tools and communication. Mentorship & Team Collaboration: Coach and support Field Supervision Associates, share best practices, and contribute to training materials. Actively participate in team meetings, projects, and continuous improvement initiatives. Qualifications and Skills: Registered as Supervisor and Registered Representative with CIRO; ability to maintain registration. 5-7+ years of CIRO dealer supervision or related compliance experience, including leadership of supervisory teams. Completion of CSC, CPH, Investment Dealer Supervisors Courses. Ability to be registered as a Supervisor with CIRO. CIM/ RIME and Portfolio Manager Experience preferred. 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. Bilingual English/French an asset. Ability to travel regularly within the region required. Bilingualism (English and French) is an asset. If the successful candidate is in Québec, proficiency in both languages will be required to support clients from various provinces outside of Quebec. 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. 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 Montreal, Quebec Working Arrangement Hybrid Salary range is expected to be between $71,475.00 CAD - $119,125.00 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.

What you’ll do

Lead Tier 1 supervision for registered advisors, including trade and suitability reviews, account and KYC approvals, complex reviews, exception management, and escalation of compliance concerns. Support and train advisors and supervision associates, conduct branch visits, assist with investigations and remediation, and partner with Compliance, Risk, Legal, and Operations to strengthen supervisory practices.

Requirements

Requires CIRO registration as a Supervisor and Registered Representative, 5–7+ years of dealer supervision or related compliance experience, and completion of the CSC, CPH, and Investment Dealer Supervisors Courses. Candidates should have strong knowledge of Canadian securities regulation, leadership and analytical judgment, and excellent communication and conflict-resolution skills; CIM/RIME and portfolio management experience are preferred, and regular regional travel is required.

Benefits

• Health Insurance
• Dental Insurance
• Mental Health Benefits
• Vision Insurance
• Short-Term Disability Insurance
• Long-Term Disability Insurance
• Life and Accidental Death and Dismemberment Insurance
• Adoption and Surrogacy Benefits
• Wellness Benefits
• Employee and Family Assistance Plans
• Retirement Savings Plans
• Pension Plan
• Global Share Ownership Plan with Employer Matching
• Financial Education and Counseling
• Paid Holidays
• Vacation
• Personal Days
• Sick Days
• Statutory Leaves of Absence
• Incentive Compensation

Listed skills

• Regulatory Compliance · Preferred
• Conflict Resolution · Preferred
• Stakeholder Management · Preferred

Other relevant skills

Identified from the job description. Confirm important requirements above.

• CIRO Dealer Supervision
• Regulatory Compliance
• Trade and Suitability Reviews
• Account Approval
• Know Your Client (KYC)
• Risk Assessment
• Complex Escalation Management
• Complaint Investigation
• Remediation Planning
• Advisor Training
• Branch Visits
• Stakeholder Management
• Conflict Resolution
• Analytical Judgment
• Team Leadership and Mentorship
• Regulatory Reporting
• Influencing Skills
• Workplace Inclusivity
• Know Your Customer
• Issue Management
• Compliance Risk
• Time Off Management
• Bilingual (French/English)
• Information Gathering
• Auditing
• Mental Health
• Investments
• Communication
• Continuous Improvement Process
• Cycle Time Variation
• Financial Services
• Financial Education
• International Finance
• Leadership
• Key Performance Indicators (KPIs)
• Legislation
• Mentorship
• Multitasking
• Negotiation
• Operations
• Portfolio Management
• Presentations
• Registered Representative (Securities)
• Regulatory Requirements
• Suitability Analysis
• Securities (Finance)
• Process Improvement
• Collaboration
• Investigation
• Prioritization

Job areas

• Finance & Accounting
• Management & Leadership
• Legal
• Field Supervision Director
• Investment Fund Manager
• Financial and Investment Advisers
• Investment Fund Managers
• Financial Managers

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