Application Deadline: 01/30/2026 Address: 1501 McGill College Avenue Job Family
Group: Business Management Monitoring of a designated Nesbitt Burns branch's
investment transactions. Supports sales supervision activities and regulatory
activities for designated Nesbitt Burns branches to meet all regulatory
requirements. Evaluates the strength and effectiveness of supervision and
adoption of policies, processes at the branch level and develops actions plans
to improve supervision. Acts as a designee on supervision objectives for the
branch. Provides ongoing supervision education to assigned branch / portfolio.
Provides support and guidance to branch employees on supervision issues.
Conducts independent analysis and assessment to resolve strategic issues.
Supports the execution of strategic initiatives in collaboration with internal
and external stakeholders. Breaks down strategic problems, and analyses data and
information to provide insights and recommendations. Provides approvals for new
and updated account, trade transactions and trade amendments. Conducts reviews
of insiders, social media, and outgoing correspondence. Acts as an escalation
point for supervision issues/concerns within the branch. Manages the
registration requirements as required by regulators/ legislation. Provides input
into the planning and implementation of operational programs. Leads/participates
in the design, implementation and management of core business/group processes.
Identifies business needs, designs/develops tools and training programs; may
include delivery of training to audiences. Performs required supervision reviews
(delegated tasks) such as Global Relay Email Review, Gateway Message Review,
Daily Trade Review, Monthly Activity Review, Quarterly Meridian Report Review,
Outstanding Documentation Review. Query and Request for Information (RFI) and
follows up on outstanding issues. Performs supervision activities to meet
regulatory requirements and maintain service level standards. Builds effective
relationships with internal/external stakeholders. Ensures alignment between
stakeholders. Follows through on risk and supervision processes and policies to
ensure we safeguard our customers’ assets, maintain their privacy, act in their
best interests, and ensure an effectively run function. Protects the Bank's
assets and complies with all regulatory, legal and ethical requirements. Focus
is primarily on business/group within BMO; may have broader, enterprise-wide
focus. Exercises judgment to identify, diagnose, and solve problems within given
rules. Works independently on a range of complex tasks, which may include unique
situations. Broader work or accountabilities may be assigned as needed.
Qualifications: Typically between 4 - 6 years of relevant experience and
post-secondary degree in related field of study or an equivalent combination of
education and experience. Knowledge of all supervision and industry regulations
– In-depth. Must meet the licensing and certification requirements for the
branch / jurisdiction where the mandate is being fulfilled. Canadian Securities
Course (CSC), Conduct and Practices Handbook Exam (CPH) already completed.
Investment Dealer Supervisors Course (IDSC) within 2 months of your start date.
Derivatives Fundamentals and Options Licensing Course (DFOL) within12 months of
your start date Options Supervisors Course (OPSC) within 12 months of your start
date Technical proficiency gained through education and/or business experience.
Verbal & written communication skills - In-depth. Collaboration & team skills -
In-depth. Analytical and problem solving skills - In-depth. Influence skills -
In-depth. Data driven decision making - In-depth. You're fluent in French and
English to support business operations outside the province of Quebec. Salary:
$56 000,00 - $103 500,00 Pay Type: Salaried The above represents BMO Financial
Group’s pay range and type. Salaries will vary based on factors such as
location, skills, experience, education, and qualifications for the role, and
may include a commission structure. Salaries for part-time roles will be
pro-rated based on number of hours regularly worked. For commission roles, the
salary listed above represents BMO Financial Group’s expected target for the
first year in this position. BMO Financial Group’s total compensation package
will vary based on the pay type of the position and may include
performance-based incentives, discretionary bonuses, as well as other perks and
rewards. BMO also offers health insurance, tuition reimbursement, accident and
life insurance, and retirement savings plans. To view more details of our
benefits, please visit: https://jobs.bmo.com/global/en/Total-Rewards About Us At
BMO we are driven by a shared Purpose: Boldly Grow the Good in business and
life. It calls on us to create lasting, positive change for our customers, our
communities and our people. By working together, innovating and pushing
boundaries, we transform lives and businesses, and power economic growth around
the world. As a member of the BMO team you are valued, respected and heard, and
you have more ways to grow and make an impact. We strive to help you make an
impact from day one – for yourself and our customers. We’ll support you with the
tools and resources you need to reach new milestones, as you help our customers
reach theirs. From in-depth training and coaching, to manager support and
network-building opportunities, we’ll help you gain valuable experience, and
broaden your skillset. To find out more visit us at https://jobs.bmo.com/ca/en.
BMO is committed to an inclusive, equitable and accessible workplace. By
learning from each other’s differences, we gain strength through our people and
our perspectives. Accommodations are available on request for candidates taking
part in all aspects of the selection process. To request accommodation, please
contact your recruiter. Note to Recruiters: BMO does not accept unsolicited
resumes from any source other than directly from a candidate. Any unsolicited
resumes sent to BMO, directly or indirectly, will be considered BMO property.
BMO will not pay a fee for any placement resulting from the receipt of an
unsolicited resume. A recruiting agency must first have a valid, written and
fully executed agency agreement contract for service to submit resumes. BMO is a
leading bank driven by a single purpose: to Boldly Grow the Good in business and
life. Everywhere we do business, we’re focused on building, investing and
transforming how we work to drive performance and continue growing the good. Who
we are We’re proud to be fueling growth and expanding possibilities for
individuals, families and businesses. More than 12 million customers count on us
for personal and commercial banking, wealth management and investment services.
As the 8th largest bank in North America by assets, we provide personal and
commercial banking, wealth management and investment services to more than 12
million customers. In Canada, the United States and across the globe, we’ll
continue to build, invest and transform to drive performance that serves the
good that grows.
