Regional Director of Supervision

Responsibilities

• Lead Tier 1 supervision activities and regulatory oversight for BMO Nesbitt Burns branches within the BC and Prairies regions.
• Fulfill duties as a CIRO-registered Business Location Supervisor for assigned branches and registrants.
• Manage a team of approximately 20 Branch Supervision Officers, ensuring adherence to regulatory requirements and service standards.
• Oversee daily and monthly supervision tasks, including trade supervision, advertising reviews, and new account maintenance.
• Act as a key relationship manager and primary escalation point for Regional Presidents and Investment Advisory Teams.
• Promote risk awareness and a culture of compliance through training and strategic communication.
• Support CIRO Regulatory Case Assessment and enforcement responses.
• Execute supervisory responsibilities for Nesbitt Burns Securities Ltd. (NBSL) in compliance with U.S. SEC and FINRA standards.

Requirements

• 7+ years of relevant experience in supervision or regulatory oversight.
• Post-secondary degree in a related field or an equivalent combination of education and experience.
• CIRO registrant in good standing with proficiency to supervise IRs, RRs, Securities, and Options (Retail).
• Expert knowledge of CIRO regulations and supervision practices.
• Completion of FINRA Series 7 and 63 exams.
• Strong professional judgment and demonstrated leadership capability.
• Exceptional verbal and written communication skills with advanced analytical abilities.

Preferred Qualifications

• Completion of the FINRA Series 24 exam or currently in progress.

Benefits

• Competitive salaried compensation package.
• Performance-based incentives and discretionary bonuses.
• Comprehensive health insurance and accident/life insurance.
• Retirement savings plans.
• Tuition reimbursement and professional development opportunities.

About the Company

BMO is a leading North American bank driven by a single purpose: to Boldly Grow the Good in business and life. With over 12 million customers, we provide personal and commercial banking, wealth management, and investment services across Canada, the United States, and globally.