General Manager leading ASSA ABLOY’s Manitoba fence and overhead door businesses. Owning operations, P&L performance, growth, and leadership across commercial and residential markets.
About the role
- Senior Field Supervision Manager overseeing CIRO supervision and compliance for Manulife Wealth, a global financial services provider. Supporting advisors through complex reviews, training, escalations, and onsite visits.
Responsibilities
- Execute Tier 1 daily supervisory activities for advisors registered with CIRO at Manulife Wealth Inc.
- Implement an effective compliance culture focused on advice and supervision to protect clients, advisory teams, and Manulife Wealth
- Execute complex reviews, manage escalations, and provide training and guidance to advisors and Field Supervision Associates
- Support high-value and high-risk advisor offices through onsite visits
- Perform daily, monthly, and quarterly trade, suitability, exception, and trade report reviews
- Review and approve new accounts and KYC updates
- Handle complex supervisory items involving high-risk products, vulnerable clients, outside activities, conflicts, and advertising
- Document decisions with clear rationale and evidence and ensure timely closure of exceptions
- Oversee delegation of account-level Tier 1 duties while retaining direct oversight for strategic advisor partners and specialized high-risk areas
- Monitor KRIs/KPIs and drive continuous improvement
- Identify, investigate, and escalate non-compliance, complaints, and regulatory inquiries
- Provide training and education to advisor teams and conduct onsite office visits
- Support post-audit remediation plans
- Contribute to thematic reviews, process improvements, audits, and exams
- Partner with Compliance, Risk, Legal, and Operations
- Support rollout of policy changes and supervisory or business tools
- Coach and support Field Supervision Associates and contribute to training materials
- Participate in team meetings, projects, and continuous improvement initiatives
Requirements
- 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, and Investment Dealer Supervisors Courses
- Ability to be registered as a Supervisor with CIRO
- CIM/RIME and Portfolio Manager experience preferred
- Strong knowledge of the financial services industry, Canadian regulatory framework, provincial securities legislation, CIRO requirements, and 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 is an asset; if the successful candidate is in Québec, proficiency in both languages will be required to support clients from various provinces outside Québec
- Ability to travel regularly within the region required
Benefits
- Flexible environment supporting well-being and inclusion
- Health insurance
- Dental insurance
- Mental health benefits
- Vision insurance
- Short- and long-term disability insurance
- Life and AD&D insurance
- Adoption/surrogacy benefits
- Wellness benefits
- Employee/family assistance plans
- Retirement savings plans
- Pension
- Global share ownership plan with employer matching contributions
- Financial education and counseling resources
- Paid holidays, vacation, personal, and sick days
- Statutory leaves of absence
- Incentive programs and incentive compensation tied to business and individual performance
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