Regional Wealth Risk & Compliance Lead

BMO; Toronto; On-site; CAD 80,000 - 130,000; Full time

Benefits offered by this job

Health insurance

Tuition reimbursement

Accident and life insurance

Retirement savings plans

Job summary

BMO Nesbitt Burns is seeking a Regional Supervision Officer to support risk management, regulatory oversight, and the supervisory framework across branches in Canada. You will collaborate with Branch Managers, Investment Advisors, Compliance, and operations to ensure adherence to CIRO rules and securities regulations.

Key responsibilities include supervising designated branches, reviewing accounts and regulatory submissions, and conducting supervision reviews for suitability and insider

Qualifications

• 5+ years of experience in wealth management, brokerage supervision, compliance, or related regulatory roles.
• Current Registered Representative and Supervisor licensing with CIRO is required.
• Strong knowledge of CIRO rules, securities regulations, and supervision requirements.

Responsibilities

• Provide day-to-day supervision and regulatory oversight for designated branches and advisory teams.
• Review and approve new accounts, account updates, and regulatory submissions.
• Conduct supervision reviews related to suitability, insider activity, outside business activities, and social media monitoring.
• Monitor branch activity, identify risks, investigate concerns, and recommend remediation.
• Deliver training to branch personnel on supervision requirements and risk controls.

Skills

Wealth management

Regulatory oversight

CIRO license

Account reviews

Risk management

Job description

BMO Nesbitt Burns is seeking a Regional Supervision Officer to support risk management, regulatory oversight, and the supervisory framework across branches in Canada. You will collaborate with Branch Managers, Investment Advisors, Compliance, and operations to ensure adherence to CIRO rules and securities regulations.

Key responsibilities include supervising designated branches, reviewing accounts and regulatory submissions, and conducting supervision reviews for suitability and insider