Branch Supervision and Compliance Specialist - Nesbitt Burns
Top Benefits
About the role
Application Deadline: 12/19/2025
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 3-5 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.
About Desjardins
Desjardins Group is the largest cooperative financial group in North America and the fifth largest cooperative financial group in the world, with assets of $435.8 billion as at March 31, 2024. It was named one of Canada's Best Employers by Forbes magazine and by Mediacorp. To meet the diverse needs of its members and clients, Desjardins offers a full range of products and services to individuals and businesses through its extensive distribution network, online platforms and subsidiaries across Canada. Ranked among the world's strongest banks according to The Banker magazine, Desjardins has some of the highest capital ratios and credit ratings in the industry and the first according to Bloomberg News.
Branch Supervision and Compliance Specialist - Nesbitt Burns
Top Benefits
About the role
Application Deadline: 12/19/2025
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 3-5 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.
About Desjardins
Desjardins Group is the largest cooperative financial group in North America and the fifth largest cooperative financial group in the world, with assets of $435.8 billion as at March 31, 2024. It was named one of Canada's Best Employers by Forbes magazine and by Mediacorp. To meet the diverse needs of its members and clients, Desjardins offers a full range of products and services to individuals and businesses through its extensive distribution network, online platforms and subsidiaries across Canada. Ranked among the world's strongest banks according to The Banker magazine, Desjardins has some of the highest capital ratios and credit ratings in the industry and the first according to Bloomberg News.