Vice President, Capital Markets Risk & Supervision

BMO; Toronto; On-site; CAD 90,000 - 120,000; Full time

Benefits offered by this job

Health insurance

Tuition reimbursement

Accident and life insurance

Retirement savings plans

Job summary

BMO Capital Markets, Toronto, seeks a Vice President to oversee supervision and regulatory risk management across Global Equity Research and Equity Products. Lead the implementation of supervisory controls to mitigate regulatory risk while enabling compliant, revenue-generating activities.

Responsibilities include designing controls, maintaining regulatory understanding, and coordinating with Legal, Compliance, Internal Audit and Risk teams.

Qualifications

• Undergraduate degree; advanced degree preferred (MBA, CPA, LLB, JD).
• Several years in Supervision, Compliance or Regulatory roles within major broker-dealers.
• 5–7 years of relevant experience in financial services, ideally in Global Equity Research or Equity Products.
• Knowledge of U.S., Canadian, and UK regulations (FINRA, CIRO, MX, OSFI, Fed, FCA).
• Solid understanding of governance structures and three lines of defense models.

Responsibilities

• Maintain and execute controls for regulatory requirements (FINRA, CIRO, MX, FCA).
• Perform electronic communications surveillance and investigate regulatory inquiries.
• Document and maintain Written Supervisory Procedures and related policies for Global Equity Research and Equity Products.
• Assist in interpreting new and existing regulatory requirements.
• Contribute to supervisory reporting to senior management and risk committees.
• Address issues from the 2nd and 3rd lines of defense and explore AI/automation opportunities.

Skills

Regulatory oversight

Financial services knowledge

Communication skills

Stakeholder management

Analytical thinking

Education

Undergraduate degree; MBA/CPA/JD preferred

Tools

MS Excel

PowerPoint

Word

Job description

BMO Capital Markets, Toronto, seeks a Vice President to oversee supervision and regulatory risk management across Global Equity Research and Equity Products. Lead the implementation of supervisory controls to mitigate regulatory risk while enabling compliant, revenue-generating activities.

Responsibilities include designing controls, maintaining regulatory understanding, and coordinating with Legal, Compliance, Internal Audit and Risk teams.