Branch Supervision Specialist

Responsibilities

• Support sales supervision and regulatory activities for designated private wealth branches to ensure compliance with industry requirements.
• Evaluate the effectiveness of supervision and adoption of policies at the branch level and develop action plans for improvement.
• Provide ongoing supervision education and guidance to branch employees and portfolios.
• Conduct independent analysis and assessments to resolve strategic issues and provide data-driven recommendations.
• Provide approvals for new and updated accounts, trade transactions, and trade amendments.
• Perform required supervision reviews, including Global Relay Email Review, Daily Trade Review, and Monthly Activity Review.
• Conduct reviews of insiders, social media, and outgoing correspondence.
• Manage registration requirements as mandated by regulators and legislation.
• Act as an escalation point for supervision issues and concerns within the branch.

Requirements

• 4-6 years of relevant experience in a supervision or regulatory role.
• Post-secondary degree in a related field of study or an equivalent combination of education and experience.
• CIRO registrant in good standing with required proficiency to supervise IRs, RRs, Securities, and Options (Retail).
• In-depth knowledge of industry regulations and supervision standards.
• Strong analytical, problem-solving, and data-driven decision-making skills.
• Excellent verbal and written communication skills.

Preferred Qualifications

• Chartered Investment Manager (CIM) designation.
• Chartered Financial Analyst (CFA) designation.

About the Company

BMO Private Wealth focuses on long-term client relationships, supporting high-net-worth clients and families with tailored advice across investments, planning, and complex banking needs. As part of BMO, we are driven by a shared purpose to Boldly Grow the Good in business and life, providing personalized experiences through strong investment discipline and proactive service.