General Management Support Manager coordinating caisse strategy, HR, communications and budgets at Desjardins. Supporting executive governance, talent development, labor relations and community representation.
About the role
- Senior Field Supervision Manager overseeing CIRO supervision and compliance for Manulife Wealth advisors. Conducting complex reviews, office visits, escalations, training, and remediation.
Responsibilities
- Perform Tier 1 daily supervision and approve daily, monthly, and quarterly trade reports
- Review and approve new accounts and KYC updates
- Communicate with advisor teams regarding compliance inquiries
- Enhance advisor compliance knowledge regarding regulatory compliance, supervision requirements, and processes
- Assist with investigations related to complaints and regulatory inquiries
- Resolve compliance issues according to regulatory guidelines and interpretations
- Perform annual branch visits
- Conduct trade, suitability, and exception reviews
- Handle complex supervisory items involving high-risk products, vulnerable clients, outside activities, conflicts, and advertising
- Document decisions with 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 high-risk areas
- Monitor KRIs/KPIs and drive continuous improvement
- Identify and escalate non-compliance
- Provide training and education to advisor teams
- Conduct onsite advisor-office visits and support post-audit remediation plans
- Investigate and assist with complaint reviews and regulatory inquiries
- Escalate significant non-compliance and support remediation plans
- Contribute to thematic reviews and process improvements
- Partner with Compliance, Risk, Legal, and Operations
- Participate in audits and examinations by preparing documentation and responding to requests
- Support rollout of policy changes and supervisory or business tools and communications
- 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, 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 work in a multitasking environment
- Strong knowledge of the financial services industry, Canadian regulatory framework, provincial securities legislation, and CIRO and provincial securities regulator requirements
- Exceptional communication, stakeholder management, negotiation, and influence skills
- Strong analytical judgment 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 is required to support clients from various provinces outside Québec
- Ability to travel regularly within the region
Benefits
- Flexible work 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 plan
- 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
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
Report this job
Found something wrong with the page? Please let us know by submitting a report below.
Study Manager leading budgets, schedules, teams and feasibility studies for Wood’s global mining and metals consulting business. Overseeing safe, timely delivery for major mining clients.
Manager cultivating transformational donors for MS Canada, which supports people affected by multiple sclerosis. Building major - gift portfolios and philanthropic relationships across Canada.
Regional Manager driving revenue, provider recruitment, and compliance across Canada for Confident Remodels’ installed home - improvement platform. Managing contractor performance, metrics, partnerships, and frequent field travel.
Market Development Manager leading financial product sales, member relationships, and team performance for Desjardins Ontario Credit Union. Driving strategic growth, service quality, talent development, and profitability.
A(
Investment technology leader managing teams and critical platforms for AIMCo, a Canadian institutional investment manager. Supporting investment, risk, trading, treasury, and compliance operations.
Senior Contract Manager leading commercial strategy, risk, claims, and negotiations for GE Vernova's Canadian hydroelectric projects. Managing contracts from bid through execution, close - out, and warranty.
Contract Manager leading contract strategy, risk, claims, and negotiations for GE Vernova’s major hydroelectric projects. Fully remote in British Columbia with 15 - 25% project - related travel.
Contract Manager leading complex hydroelectric project contracts for GE Vernova’s energy business in British Columbia. Managing commercial risk, negotiations, changes, claims, and disputes.
Senior Contract Manager leading contract strategy, risk, claims and negotiations for GE Vernova's Canadian hydroelectric projects. Managing commercial interests from bid through execution, close - out and warranty.