AVP – Head of Advisor Supervision & Programs

AVP – Head of Advisor Supervision & Programs

Requirements

• Minimum 10 to 15 years of experience in the financial services industry.
• CFP, CIM designations are an asset.
• Extensive knowledge of Provincial Securities regulatory framework as well as CIRO and Insurance regulations and policies.
• Experience with sales management including recruiting, coaching, and leading advisors is required.
• Leadership and people management skills with the ability to motivate and energize a team towards common goals.
• Experience in networking, negotiation, influencing and creative thinking skills.
• Build and manage relationships across functions and divisions.
• Resilient delivery mind-set with a strong execution focus.
• Excellent and effective communication and interpersonal skills.
• Ability to travel.
• 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 developed conflict resolution skills.
• Comfortable making presentations to groups.

Responsibilities

• Develop and maintain a comprehensive supervision framework for our CIRO and ICPM businesses, ensuring alignment with regulatory requirements and best practices.
• Oversee the National Director of Branch Supervision and all Branch Managers, providing strategic direction and support.
• Manage advisor applications and approvals for various platforms, including Manulife Private Counsel and the US cross-border program.
• Coordinate with internal support teams to ensure advisors have access to the necessary resources and support.
• Working with regional teams across the Country to provide consistent messages and instructions.
• Develop and maintain programs to drive NPS at the advisor level towards the firm and at the customer level towards both the firm and the advisor.
• Develop and maintain network of relationships at the branch level nation-wide.
• Ensure Advisory teams have risk awareness to drive our culture, manage reputational risk and protect the brand of Manulife.
• Coach advisors/branch owners to identify current condition of their businesses, implement solutions and monitor and quantify results.
• Working closely with the regional leadership teams, identify distinct advisor and branch owner segments, based on their value to the organization, while providing a competitive value proposition to retain talent and grow results.
• Participate and support the firm’s advisor recruiting efforts and support the book buying program.
• Implement additional supervision and support measures for existing product platforms, ensuring compliance and operational efficiency.
• Collaborate with cross-functional teams to streamline advisor onboarding and platform transition processes.
• Stay current with industry regulations, technology advancements, and business needs to enhance platform supervision and support.
• Partner with the Head of Product & Platform for intake and approval processes and clearly outlining qualifying criteria.
• Lead and mentor a team of compliance and supervision professionals, fostering a culture of collaboration and continuous improvement.
• Develop and implement training programs for Junior Branch Managers and Regional Compliance Officers to ensure consistent and compliant practices.
• Promote positive team engagement and effective communication across all levels of the organization.
• Keeping apprised of changes and communication within the company to provide an effective network of current information.
• Ongoing communication with Branch Owners and Advisory Teams on all pertinent information being shared by Manulife Wealth.
• Be a leader in supporting the firm’s recruitment offering.
• Drive initiatives to integrate technology into supervision processes, optimizing workflow and enhancing compliance capabilities.
• Champion change management efforts, encouraging the adoption of innovative solutions and practices.
• Collaborate with other departments to identify opportunities for growth and improvement in supervision and compliance functions.
• Champion our key pillars of Recruit, Retain, Grow and Transition.
• Maintain an up-to-date view and pulse on the industry landscape and applicable regulation across Canada.
• Working closely with our internal partners and senior leadership of Regulatory Affairs, Risk and Compliance, provide business guidance and input into measures to identify and mitigate risks within the business and participate in industry response proposals.
• Partner with Legal, Compliance and Market Conduct to address advisor escalations.

Preferred Qualifications

No preferred qualifications provided.