Senior Branch Manager

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 inquirie...