Compliance Supervisory Associate, Wealth Operations

2 weeks ago


Quezon City, Philippines Manulife Insurance Malaysia Full time

job requisition id JR

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.

À propos de Manuvie et de John Hancock

La Société Financière Manuvie est un chef de file mondial des services financiers qui aide les gens à prendre leurs décisions plus facilement et à vivre mieux. Pour en apprendre plus à notre sujet, rendez vous à l’adresse

Manuvie est un employeur qui souscrit au principe de l’égalité d’accès à l’emploi

Chez Manulife/John Hancock nous valorisons notre diversité. Nous nous efforçons d’attirer, de perfectionner et de maintenir une main d'oeuvre qui est aussi diversifiée que nos clients, et de favoriser la création d’un milieu de travail inclusif qui met à profit la diversité de nos employés et les compétences de chacun. Nous nous engageons à assurer un recrutement, une fidélisation, une promotion et une rémunération équitable s , et nous administrons toutes nos pratiques et tous nos programmes sans discrimination en raison de la race, de l’ascendance, du lieu d’origine, de la couleur, de l’origine ethnique, de la citoyenneté, de la religion ou des croyances ou des convictions religieuses, du genre (y compris grossesse et affection liée à une grossesse), de l’orientation sexuelle, des caractéristiques génétiques, du statut d’ancien combattant, de l’identité de genre, de l’expression de genre, de l’âge, de l’état matrimonial, de la situation de famille, d’une invalidité ou de tout autre motif protégé par la loi applicable.

Nous nous sommes donné comme priorité d’éliminer les obstacles à l’accès égalitaire à l’emploi. C’est pourquoi un représentant des Ressources humaines collaborera avec les candidats qui demandent accommodement raisonnable pendant le recrutement. Tous les renseignements communiqués pendant le processus de demande d'accommodement seront stockés et utilisés conformément aux lois et aux politiques applicables de Manuvie. Pour demander une mesure d’accommodement raisonnable dans le cadre du recrutement, écrivez à .

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