Job Description
Join Manulife Wealth as a Senior Branch Manager focused on compliance. Guide Tier 1 supervision, educate advisors, and uphold regulatory standards effectively.
As Senior Branch Manager at Manulife Wealth, you will play a crucial role in Tier 1 supervision of advisors. This management position entails reviewing trade reports, approving new account setups, and providing essential training in regulatory compliance. Your expertise will enhance the branch’s adherence to compliance requirements while fostering collaborative relationships.
Key Responsibilities:
• Supervise and approve daily and monthly trade reports
• Review new account submissions and KYC updates
• Deliver compliance training to advisor teams
• Assist with investigations and manage regulatory inquiries
• Conduct comprehensive branch reviews and escalate compliance concerns
Requirements:
• CIRO Supervisor and Registered Representative eligibility
• Minimum of 3-5 years in the financial services i...
As Senior Branch Manager at Manulife Wealth, you will play a crucial role in Tier 1 supervision of advisors. This management position entails reviewing trade reports, approving new account setups, and providing essential training in regulatory compliance. Your expertise will enhance the branch’s adherence to compliance requirements while fostering collaborative relationships.
Key Responsibilities:
• Supervise and approve daily and monthly trade reports
• Review new account submissions and KYC updates
• Deliver compliance training to advisor teams
• Assist with investigations and manage regulatory inquiries
• Conduct comprehensive branch reviews and escalate compliance concerns
Requirements:
• CIRO Supervisor and Registered Representative eligibility
• Minimum of 3-5 years in the financial services i...