Senior Branch Manager

Overview

The Senior Branch Manager is a supervision management position within Manulife Wealth. The Senior Branch Manager is responsible for providing Daily Tier 1 supervision of advisors registered with the Canadian Investment Regulatory Organization (CIRO).

Responsibilities

• Responsible for Tier 1 supervision, approval of daily, monthly, quarterly trade reports
• Review and approve new accounts and KYC updates
• Provide training and 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 supervision
• Identify and ...