Branch Supervision Administrator

Jobtailor; Calgary; On-site; CAD 80,000 - 110,000; Full time

Job summary

Jobtailor in Calgary seeks a supervision professional to support private wealth branches with regulatory activities and education. You will act as a designee for supervision objectives and guide branch staff on supervision issues.

The role involves performing routine supervision reviews, reporting, and collaborating with internal/external stakeholders to safeguard clients and assets under the Bank’s risk framework.

Qualifications

• Post-secondary degree in related field of study or equivalent combination of education and experience.
• In-depth understanding of supervision and industry regulations.
• Strong verbal and written communication skills.
• Ability to collaborate effectively within a team.
• Ability to think analytically and solve problems within regulatory guidelines.

Responsibilities

• Support sales supervision and regulatory activities for designated private wealth branches.
• Act as a designee on supervision objectives for the branch.
• Provide ongoing supervision education to assigned branch/portfolio.
• Provide support and guidance to branch employees on supervision issues.
• Identify, report, and manage supervision issues and irregularities according to guidelines.
• Perform daily/monthly supervision reviews and branch report reviews.
• Execute work to deliver timely, accurate, and efficient service.

Skills

Verbal & written communication

Collaboration

Analytical thinking

Problem-solving

Influence skills

Education

Post-secondary degree

Tools

Email Surveillance

Daily Trade Review

Monthly Activity Review

Job description

Responsibilities

• Support sales supervision activities and regulatory activities for designated private wealth branches
• Act as a designee on supervision objectives for the branch
• Provide ongoing supervision education to assigned branch / portfolio
• Provide support and guidance to branch employees on supervision issues
• Support strategic initiatives with internal and external stakeholders
• Identify, report, and manage supervision issues and irregularities according to guidelines
• Perform required daily/monthly supervision reviews, including branch report reviews
• Perform delegated supervision reviews, including Email Surveillance, Daily Trade (Blotter) Review, Monthly Activity Review, Outstanding Documentation Review, KYP Assessment testing, Pre-Trade Disclosure testing, Trigger Report testing, prospectus log reviews, and insider status reorganization reviews
• Query and request information (RFI), and follow up on outstanding issues
• Execute work to deliver timely, accurate, and efficient service
• Build effective relationships and ensure alignment with internal/external stakeholders
• Follow risk and supervision processes and policies to safeguard customers’ assets and privacy and act in their best interests
• Protect the Bank's assets and comply with regulatory, legal, and ethical requirements
• Think creatively and propose new solutions
• Exercise judgment to identify, diagnose, and solve problems within given rules
• Work mostly independently
• Take measured risks within BMO’s Risk Management Framework and approved Risk Appetite

Requirements

• Typically between 3 - 5 years of relevant experience
• Post-secondary degree in related field of study or an equivalent combination of education and experience
• Knowledge of all supervision and industry regulations
• Specialized knowledge from education and/or business experience
• In-depth verbal and written communication skills
• In-depth collaboration and team skills
• In-depth analytical and problem-solving skills
• In-depth influence skills
• Must support the British Columbia Region & Prairies Region of BMO Nesbitt Burns

Core Competencies

Demonstrates expertise in supervision activities and regulatory compliance within private wealth management, with strong analytical, problem-solving, and communication skills to effectively support branch operations and stakeholder relationships.

Highest-signal resume keywords

• Supervision Activities
• Regulatory Compliance
• Analytical Skills
• Communication Skills
• Problem-Solving Skills

ATS Optimization Keywords

Hard Skills

• Email Surveillance
• Daily Trade Review
• Monthly Activity Review

Soft Skills

• Collaboration Skills
• Influence Skills
• Creative Thinking
• Judgment

Industry Keywords

• Private Wealth Management
• Regulatory Activities
• Risk Management Framework
• BMO Nesbitt Burns
• British Columbia Region
• Prairies Region