Senior Field Supervision Manager (Mandarin)
Core
Frontline supervisor responsible for Tier 1 daily supervisory activities, compliance reviews, and advisor support for registered financial advisors.
Role type
Senior Field Supervision Manager (Financial Services Compliance)
Builds
Compliance culture, regulatory adherence, and advisor performance within Manulife Wealth Inc.
Domain
Financial Services / Wealth Management / Regulatory Compliance
Required skills
Tier 1 supervision, complex review execution, KYC approval, regulatory interpretation, conflict resolution, team mentorship, KRI/KPI monitoring, investigation support, policy rollout, stakeholder partnership
Preferred skills
Portfolio management experience, RIME certification, CIM certification
Technologies
CIRO regulatory framework, provincial securities legislation, CSC, CPH, Investment Dealer Supervisors Courses
Responsibilities
Perform daily, monthly, and quarterly trade, suitability, and exception reviews; approve new accounts and KYC updates; conduct onsite visits to high-value and high-risk advisor offices; deliver training to advisor teams on supervisory expectations; handle complex supervisory items (high-risk products, vulnerable clients, conflicts); assist with complaints and regulatory inquiries; coach and support Field Supervision Associates; monitor KRIs/KPIs and drive continuous improvement.
Seniority
Senior, hands-on IC with leadership of supervisory teams