BMO Financial Group Branch (Compliance) Supervision Specialist in Toronto, Ontario
595 Burrard Street
Job Family Group:
Identified candidate works remotely online supporting BC and can be situated in any province across Canada
Supports sales supervision activities and regulatory activities for designated 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.
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.
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.
We’re here to help
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 www.jobs.bmo.ca/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.
BMO Financial GroupServing customers for 200 years and counting, BMO is a highly diversified financial services provider – the 8th largest bank, by assets, in North America. With total assets of $728 billion as of October 31, 2018, and a team of diverse and highly engaged employees, BMO provides a broad range of personal and commercial banking, wealth management and investment banking products and services to more than 12 million customers and conducts business through three operating groups: Personal and Commercial Banking, BMO Wealth Management and BMO Capital Markets.We serve Canadian clients through BMO Bank of Montreal®, our personal and commercial banking business, BMO Nesbitt Burns®*, one of Canada's leading wealth management firms, and BMO Capital Markets™, our North American investment and corporate banking division.In the United States, clients are served through BMO Harris Bank, a major U.S. Midwest personal and commercial bank, and BMO Private Bank, with wealth management offices across the United States, as well as BMO Capital Markets™, our North American investment and corporate banking division.We help our customers make money make sense by delivering the broadest range of financial services through a single point of contact. Our financial service professionals provide access to any services our customers require across the entire enterprise.