100 King Street West Toronto Ontario,M5X 1A1

• Reporting to the National Director, Branch Supervision - leads the effective implementation of Tier 1 supervision initiatives and regulatory activities for BMO Nesbitt Burns branches located in the GTA Region.

• Performs supervision activities to meet regulatory requirements and maintain service level standards; assesses and adapts as needed to ensure quality of execution.

• Acts as the CIRO registered business location supervisor for branches and registrants in the GTA region and is accountable for overseeing the execution of delegated tier 1 supervision tasks including but not limited to: daily and monthly trade supervision, IA advertising and sales literature, outgoing correspondence reviews, new account opening and maintenance, registrant outside activities, registration matters etc.

• Translates group initiatives into tactical plans for execution in the region and at the branch level.

• Delivers training addressing regulatory matters/ remediation of process gaps at the national/regional/branch and team level

• Supports the resolution of escalated supervisory issues as required.

• Works closely with Compliance in the resolution regulatory client complaints and internal investigations.

• Supports supervisory activities for Nesbitt Burns Securities Ltd (NBSL), a wholly owned subsidiary of NBI offering advisory, brokerage services and financial planning - registered with the US. SEC and member of FINRA.

• Leads a team of supervision officers.

• Attracts, retains, and enables the career development of top talent.

• Improves team performance, recognizes and rewards performance, coaches employees, supports their development, and manages poor performance.

• Leads or participates in defining the communication plan designed to positively influence or change behaviour; develops tailored messaging; and identifies appropriate distribution channels.

• Directs the development of supervision contingency plans to support stable operations both at the region and branch level.

• Fosters a culture aligned to BMO purpose, values and strategy and role models BMO values and behaviours in all that they do.

• Ensures alignment between values and behaviour that fosters diversity and inclusion.

• Regularly connects work to BMO’s purpose, sets inspirational goals, defines clear expected outcomes, and ensures clear accountability for follow through.

• Builds interdependent teams that collaborate across functional and operating groups to create the highest value for all stakeholders.

• Provides strategic input into business decisions as a trusted advisor.

• Acts as a subject matter expert on relevant regulations and policies and serves as a specialist resource.

• May network with industry contacts to gain competitive insights and best practices.

• Makes recommendations to management about risk and regulatory requirements and supervision.

• Recommends business priorities, advises on resource requirements and develops roadmap for strategic execution.

• Monitors and tracks performance and addresses any issues.

• Breaks down strategic problems, and analyses data and information to provide insights and recommendations.

• 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.

• Applies expertise and thinks creatively to address unique or ambiguous situations and to find solutions to problems that can be complex and non-routine.

• Implements changes in response to shifting trends.

• Broader work or accountabilities may be assigned as needed.

  Qualifications:

• Typically 7+ 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/CIRO regulations - Expert.

• Must be a CIRO registrant in good standing and meet the proficiency requirements to be a Supervisor of IRs, RRs, Securities and Options (Retail).

• The ideal candidate has completed the FINRA Series 7 and 63 exams as well as completed or working towards the FINRA Series 24 General Securities Principal Exam.

• Seasoned professional with a combination of education, experience and industry knowledge.

• Passionate leader

• Verbal & written communication skills - In-depth / Expert.

• Analytical and problem solving skills - In-depth / Expert.

• Influence skills - In-depth / Expert.

• Collaboration & team skills; with a focus on cross-group collaboration - In-depth / Expert.

• Able to manage ambiguity.

• Data driven decision making - In-depth / Expert.

Salary:

$80,300.00 - $149,300.00

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.