Senior Branch Manager- Bilingual

The Opportunity:

The Senior Compliance Branch Manager is a compliance management position within Manulife Wealth. The Senior Compliance 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 responsible for implementing an effective and efficient compliance culture focused on providing advice and supervision to protect clients, dealer and advisors.

**The preferred candidate for the role must be bilingual in English and French**

Accountabilities:

• Responsible for Tier 1 supervision, approval of daily, monthly, quarterly trade reports

• Review and approve new accounts and KYC updates.

• Provide training an 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 compliance.

• Identify and escalate any areas of non-compliance

• Build on the strength of the compliance team by actively participating in team meetings, contributing toward team goals and participating on projects.
  

Qualifications and Skills:

• 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). Completion of the CSC, CPH and Investment Dealers 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

• Strong communication, interpersonal, negotiations and influence skills

• A capacity to engage constructively and respectfully with individuals at all levels of the organization, and an ability to achieve high-quality outcomes.

• Highly developed conflict resolution skills

• Strong analytical and problem-solving skills and sound professional judgment

• Comfortable making presentations to groups.

• Ability to manage ambiguity.

• Bilingual, English and French, spoken and written.

• The successful candidate will be required to communicate in English and French in order to support clients from various jurisdictions 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.

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 recruitment@manulife.com.

Salary range is expected to be between

If you are applying for this role outside of the primary location, please contact recruitment@manulife.com for the salary range for your location. 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. Employees also have the opportunity to participate in incentive programs and earn incentive compensation tied to business and individual performance.

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 recruitment@manulife.com for more information about U.S.-specific paid time off provisions.