Regional Supervision Officer, Private Wealth
BMO · Toronto, Canada · 1d ago
Application Deadline:
Address:
100 King Street WestJob Family Group:
As a Regional Supervision Officer, you will play a critical role in supporting the risk management, regulatory oversight, and supervisory framework of BMO Nesbitt Burns. Working closely with Branch Managers, Investment Advisors, Associate Investment Advisors, Compliance, and operational partners, you will help ensure branch activities are conducted in accordance with CIRO, securities regulations, and internal policies.
Key responsibilities include:
- Provide day-to-day supervision and regulatory oversight for designated branches and advisory teams.
- Review and approve new accounts, account updates, trade activity, and other regulatory submissions in accordance with firm policies and industry requirements.
- Conduct supervision reviews related to suitability, insider activity, outside business activities, correspondence, and social media monitoring.
- Monitor branch activity, identify emerging risks, investigate supervisory concerns, and recommend appropriate remediation where required.
- Act as a trusted advisor to Branch Managers and advisory teams on regulatory requirements, supervision best practices, and risk-management matters.
- Support branch audits, regulatory examinations, and internal reviews while ensuring required documentation and records are maintained.
- Oversee registration-related requirements and ensure regulatory obligations are met across assigned branches.
- Partner with Compliance, Registration, Operations, and business leaders on new initiatives, policy changes, and regulatory developments impacting the advisory business.
- Deliver training and coaching to branch personnel on supervision requirements, risk controls, and regulatory expectations.
- Escalate significant supervision concerns and contribute to the ongoing enhancement of the firm's supervisory framework.
What We're Looking For
- 5+ years of experience within wealth management, brokerage supervision, compliance, branch management, or a related regulatory environment.
- Current Registered Representative and Supervisor licensing with CIRO is required.
- Strong knowledge of CIRO rules, securities regulations, supervision requirements, and wealth management operations.
- Experience reviewing client accounts, transactions, suitability, and regulatory documentation.
- Ability to balance risk management with a practical understanding of advisor and client needs.
- Strong judgment, relationship management, and communication skills.
- Experience working with Investment Advisors and branch leadership teams is highly valued.
- CIM, CFA, or other industry designations are considered an asset
This job posting is for a current vacancy.
Salary:
Pay Type:
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.