Vice President, Capital Markets, Supervision

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

Job summary

A leading financial services provider in Toronto seeks a Vice President for Capital Markets Supervision. This role is crucial for overseeing regulatory risk management and ensuring compliance with various regulations. Ideal candidates will have several years of experience in compliance within broker-dealers and a proven understanding of financial services. The role offers a competitive salary range of $90,000 to $120,000 CAD and includes comprehensive benefits such as health insurance and retirement savings plans.

Benefits

Health insurance

Tuition reimbursement

Accident and life insurance

Retirement savings plans

Qualifications

• Excellent written and oral communication skills are required.
• Ability to influence and negotiate effectively is essential.
• Strong analytical, auditing, and problem-solving skills needed.

Responsibilities

• Oversee performance of regulatory risk management functions.
• Act as a liaison between multiple groups and the LOB.
• Design and administer effective controls.

Education

Undergraduate degree; advanced degree (MBA, CPA, LLB, JD) preferred.

Several years of experience in Compliance or Regulatory roles within major Broker-Dealers.

5-7 years of relevant experience in financial services, ideally in Global Equity Research or related areas.

In-depth knowledge of BMO Capital Markets products, services, and risk controls.

Strong understanding of U.S., Canadian, and UK regulations (FINRA, CIRO, OSFI, Federal Reserve, FCA).

Tools

MS Excel

MS Word

MS PowerPoint

Job description

Application Deadline : 11 / 30 / 2025

Address : 100 King Street West

Job Family Group : Business Management

BMO Capital Markets is a leading, full-service financial services provider. We offer corporate and investment banking, treasury management, as well as research and advisory services to clients around the world.

The Vice President, Capital Markets Supervision (CMS) will be responsible for overseeing supervision and regulatory risk management functions within BMO Capital Markets, specifically supporting the Global Equity Research Line of Business (LOB). This role ensures that supervisory controls are effectively designed and implemented to mitigate risk and support compliant, revenue-generating activities.

Key Accountabilities

The Vice President, Capital Markets Supervision (CMS) will oversee the performance of BMO Capital Markets Business Unit regulatory risk management functions. The incumbent will work closely with the Global Equity Research Line of Business (LOB) to assess, analyze, and update regulatory risk matters, ensuring appropriate supervisory controls are in place to mitigate risk and support compliant revenue-generating activities.

The CMS will act as a liaison between multiple groups and the LOB, including Legal and Regulatory Compliance, Second Line Compliance, Internal Audit, Enterprise Risk, Operational Risk, and other stakeholders to ensure risks are appropriately assessed and controls are effectively implemented.

Additional responsibilities include

• Designing and administering effective controls.
• Maintaining a robust understanding of regulatory obligations related to Global Equity Research products and personnel.
• Developing and maintaining first-line supervision protocols for monitoring controls.
• Promoting a culture of compliance across Capital Markets Global Equity Research to enable proactive gap analysis.

Risk Assessment

• Identify regulatory requirements for the LOB based on established regulatory libraries.
• Complete annual Regulatory Compliance Risk Assessments.
• Analyze regulatory changes and determine efficient courses of action.
• Develop and execute the annual Monitoring and Testing (M&T) Plan.

Monitoring Activities

• Review and monitor controls for regulatory requirements (e.g., FINRA, CIRO, FCA).
• Investigate and respond to regulatory inquiries.
• Provide global regulatory guidelines to the LOB.
• Assist with regulatory audit preparations and inquiries.
• Address deficiencies from testing programs and document remediation plans.
• Monitor electronic communications for potential policy breaches or buyside escalations.
• Document, implement, and revise Business Unit Compliance policies for Global Equity Research.

Authorities

• Ability to challenge actions appropriately and follow up on concerns.
• Direct access to operations and documents within assigned units.
• Attend relevant meetings and engage with all levels of management.
• Direct access to Directors of Research and Business Management for escalation or clarification.

Cross-Functional Relationships

• Work closely with Compliance (2nd LOD) for oversight and effective challenge.
• Participate in projects supporting the supervision function.

Qualifications : Knowledge

• Undergraduate degree; advanced degree (MBA, CPA, LLB, JD) preferred.
• Several years of experience in Compliance or Regulatory roles within major Broker-Dealers.
• 5-7 years of relevant experience in financial services, ideally in Global Equity Research or related areas.
• In-depth knowledge of BMO Capital Markets products, services, and risk controls.
• Strong understanding of U.S., Canadian, and UK regulations (FINRA, CIRO, OSFI, Federal Reserve, FCA).

Skillset

• Exceptional written and oral communication skills.
• Ability to influence and negotiate effectively.
• Strong analytical, auditing, and problem-solving skills.
• Proficiency in MS Excel, Word, and PowerPoint.
• Excellent judgment and ability to manage sensitive issues with discretion.
• Ability to manage multiple priorities independently in a fast-paced environment.

Attributes

• Service-oriented, team player, confident leader.
• Methodical, analytical, and solution-focused.
• Calm under pressure, adaptable, and proactive.

The salary range for this role is $90,000 up $120,000 CAD (subject to the candidate meeting the skills, experience, education, and qualification requirements).

BMO Financial Group offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit: https://jobs.bmo.com/global/en/Total-Rewards

About Us

At BMO we are driven by a shared Purpose : Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people.

The BMO team values, respects, and hears you, and you have more ways to grow and make an impact. We strive to help you make an impact from day one - for yourself and our customers.

To find out more visit us at https://jobs.bmo.com/ca/en.

BMO is committed to an inclusive, equitable and accessible workplace.