Senior Branch Manager

About the role

The Senior Branch Manager is a supervision management position within Manulife Wealth in Toronto. The role provides daily Tier 1 supervision of advisors registered with the Canadian Investment Regulatory Organization (CIRO) and reports directly to the Regional Field Supervision Officer. It fosters a compliance culture focused on protecting clients, dealers and advisors.

Key responsibilities

• Tier 1 supervision and approval of daily, monthly and quarterly trade reports
• Review and approve new accounts and KYC updates
• Train advisor teams on compliance and build their knowledge of regulatory requirements and supervision processes
• Assist with investigations into complaints and regulatory inquiries, and help resolve compliance issues
• Perform annual branch reviews and identify and escalate areas of non-compliance
• Take part in team meetings, contribute to team goals and join supervision projects

Required profile

• Registered as a Supervisor and Registered Representative with CIRO
• Professional background in financial services, preferably as a CIRO dealer, with a minimum of 3-5 years
• CIM/RIME and portfolio manager experience preferred

What we offer

• Expected salary range of $73,725 to $122,875 CAD, with incentive compensation tied to performance
• Hybrid working arrangement
• Health, dental, mental health, vision, life and disability insurance, retirement savings plans and paid time off