Supervision Associate

The Supervision Associate is a pivotal role within our updated supervision structure, dedicated primarily to supporting the supervision of financial advisors at Manulife Wealth. This position focuses on essential non-licensed tasks that help maintain regulatory compliance and support the Tier 1 Supervision Team. Reporting directly to the National Director of Advisor Supervision, the Supervision Associate is instrumental in ensuring that advisors adhere to regulatory requirements, thereby protecting the interests of both the firm and its clients.

Position Responsibilities

Advisor Supervision & Branch Reviews

• Outside activity review for Supervision Manager approvals
• Shared premise review sent for secondary approval by Supervision Manager
• Relocation template approvals
• Associate advisor delegation letters
• Tracking and reporting for involvement in Hypercare (Top Advisor Support)
• Track and manage high-level audit responses
• Plan, track and prepare for Advisor Supervision Manager Branch Visits
  
  

Account Reviews

• Multiple non-material account reviews, including:
• Update to non-material client updates
• Name and address updates, including hold-mail requests
• Non-qualified security
• Donations
• Manual account pre-reviews
• Banking and systematic event approvals
• Transfer approvals
• Referral reviews and approvals
• Daily trade reviews
• Concentration review
• POS failure inquiries
  
  

Additional Accountabilities

• Prepare disciplinary memos for distribution by Supervision Managers
• Service complaints reporting
• Draft job aids and policy/process documents, including Wealth Guide articles
• Edit/update various compliance courses
• Develop presentations for various events and advisor calls/communication
• Compliance courses
• AML training
• Proofpoint completions and remediation actions
• Other responsibilities as advisors join or depart the firm
  
  

Qualifications And Skills

• Professional background in the financial services industry preferably with a CIRO Dealer
• Knowledge of the FCC System is an asset
• Knowledge of Portfolio Aid 360 is an asset
• Organizational and prioritization skills to be able to work in a multitasking environment
• A capacity to engage constructively and respectfully with individuals at all levels of the organization, and an ability to achieve high-quality outcomes
• Highly detailed oriented
• Can manage the balance between servicing and supporting advisors while ensuring we follow supervision requirements
• Strong analytical and problem-solving skills and sound professional judgment
• Ability to manage ambiguity
  
  

When You Join Our Team

• We’ll empower you to learn and grow the career you want.
• We’ll recognize and support you in a flexible environment where well-being and inclusion are more than just words.
• As part of our global team, we’ll support you in shaping the future you want to see.
  
  

About Manulife And John Hancock

Manulife Financial Corporation is a leading international financial services provider, helping people make their decisions easier and lives better. To learn more about us, visit https://www.manulife.com/en/about/our-story.html.

Manulife is an Equal Opportunity Employer

At Manulife/John Hancock, we embrace our diversity. We strive to attract, develop and retain a workforce that is as diverse as the customers we serve and to foster an inclusive work environment that embraces the strength of cultures and individuals. We are committed to fair recruitment, retention, advancement and compensation, and we administer all of our practices and programs without discrimination on the basis of race, ancestry, place of origin, colour, ethnic origin, citizenship, religion or religious beliefs, creed, sex (including pregnancy and pregnancy-related conditions), sexual orientation, genetic characteristics, veteran status, gender identity, gender expression, age, marital status, family status, disability, or any other ground protected by applicable law.

It is our priority to remove barriers to provide equal access to employment. A Human Resources representative will work with applicants who request a reasonable accommodation during the application process. All information shared during the accommodation request process will be stored and used in a manner that is consistent with applicable laws and Manulife/John Hancock policies. To request a reasonable accommodation in the application process, contact [email protected].

Working Arrangement

Hybrid