Senior Field Supervision Manager
$73,725–$122,875 year
HybridCalgary, Alberta, Canada or Vancouver, British Columbia, Canada
Job Summary
Conduct Tier 1 daily supervisory activities for advisors registered with CIRO, including approval of trade reports, new accounts, and KYC updates. Execute complex reviews for high-risk products, vulnerable clients, and conflicts, while managing escalations and regulatory inquiries. Perform annual branch reviews and deliver training to advisor teams on supervisory expectations and compliance processes. Partner with Compliance, Risk, and Operations to support audits, policy rollouts, and continuous improvement initiatives. Monitor KPIs to drive remediation closure and identify non-compliance areas. Fluent in Cantonese and Mandarin required. Hybrid work arrangement with regular regional travel.
Required Qualifications
- Fluent in Cantonese and Mandarin
- 5-7 years of CIRO dealer supervision or related compliance experience, including leadership of supervisory teams
- Registered as a Supervisor and Registered Representative with CIRO; ability to maintain registration
- Completion of CSC, CPH, Investment Dealer Supervisors Courses
- Ability to be registered as a Supervisor with CIRO
- Organizational and prioritization skills to be able to work in a multitasking environment
- Strong knowledge of the financial services industry, the Canadian Regulatory framework, provincial securities legislation and the regulatory requirements of CIRO and the provincial securities regulators
- Exceptional communication, stakeholder management, negotiation, and influence skills
- Strong analytical judgment with experience handling complex escalations and remediation
- Highly developed conflict resolution skills
- Comfortable making presentations to groups
- Ability to travel regularly within the region
Desired Qualifications
- CIM/ RIME and Portfolio Manager Experience
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