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 approvalsShared premise review sent for secondary approval by Supervision ManagerRelocation template approvalsAssociate advisor delegation lettersTracking and reporting for involvement in Hypercare (Top Advisor Support)Track and manage high-level audit responsesPlan, track and prepare for Advisor Supervision Manager Branch Visits

 

Account Reviews

Multiple non-material account reviews, including:Update to non-material client updatesName and address updates, including hold-mail requestsNon-qualified securityDonationsManual account pre-reviewsBanking and systematic event approvalsTransfer approvalsReferral reviews and approvalsDaily trade reviewsConcentration reviewPOS failure inquiries

 

Additional Accountabilities

Prepare disciplinary memos for distribution by Supervision ManagersService complaints reportingDraft job aids and policy/process documents, including Wealth Guide articlesEdit/update various compliance coursesDevelop presentations for various events and advisor calls/communicationCompliance coursesAML trainingProofpoint completions and remediation actionsOther 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 assetKnowledge of Portfolio Aid 360 is an assetOrganizational and prioritization skills to be able to work in a multitasking environmentA capacity to engage constructively and respectfully with individuals at all levels of the  organization, and an ability to achieve high-quality outcomesHighly detailed orientedCan manage the balance between servicing and supporting advisors while ensuring we follow supervision requirementsStrong 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 recruitment@manulife.com.

Working Arrangement

Hybrid