Senior Field Supervision Manager
Core
Frontline supervision of CIRO-registered advisors, ensuring compliance with regulatory requirements and internal policies through daily reviews, onsite visits, and training.
Role type
Senior Field Supervision Manager (Financial Services Compliance)
Builds
Compliance culture and adherence to CIRO regulations for advisor teams
Domain
Financial Services / Wealth Management / Canadian Securities Regulation
Required skills
CIRO registration (Supervisor & Representative), Tier 1 supervision, complex review handling, KYC approval, regulatory interpretation, investigation support, team mentorship, conflict resolution, stakeholder management
Preferred skills
CIM/RIME experience, Portfolio Manager experience, bilingualism (English/French)
Technologies
CIRO regulatory framework, provincial securities legislation
Responsibilities
Perform daily, monthly, and quarterly trade/suitability reviews; approve new accounts and KYC updates; conduct onsite visits to advisor offices; provide training on supervisory expectations; investigate complaints and regulatory inquiries; escalate non-compliance issues; coach Field Supervision Associates
Seniority
Senior, hands-on IC with leadership of supervisory teams