VP, Capital Markets Compliance & Supervision

Bank of Montreal; Toronto; On-site; CAD 90,000 - 120,000; Full time

Benefits offered by this job

Health insurance

Retirement savings plan

Tuition reimbursement

Accident and life insurance

Job summary

Bank of Montreal (BMO) Capital Markets is seeking a Vice President to oversee supervision and regulatory risk management across Global Equity Research and Equity Products. You will design controls, coordinate with Legal, Compliance and Internal Audit, and ensure coverage of regulatory requirements.

The role focuses on mitigating risk while supporting revenue-generating activities. You will lead first-line supervision protocols, promote a culture of compliance, and actively identify gaps for

Qualifications

• Experience in Supervision, Compliance or Regulatory roles in broker-dealers.
• 5–7 years in financial services, global equity research or related areas.
• Deep knowledge of Capital Markets products, services and risk controls.
• Strong understanding of US, Canadian and UK regulations (FINRA, CIRO, MX, OSFI, FCA).

Responsibilities

• Oversee performance of regulatory risk management for Global Equity Research and Equity Products.
• Design and administer effective supervisory controls and written procedures.
• Liaise with Legal, Compliance, Internal Audit and 2nd Line to manage risk and controls.
• Perform surveillance of electronic communications and regulatory inquiries.
• Contribute to reporting of supervisory results to senior management and stakeholders.

Skills

Regulatory risk

Supervision

Stakeholder management

Communication

Analytical thinking

Auditing

Excel/PowerPoint

Education

Undergraduate degree

MBA/CPA/LLB/JD preferred

Tools

MS Excel

MS PowerPoint

Job description

Bank of Montreal (BMO) Capital Markets is seeking a Vice President to oversee supervision and regulatory risk management across Global Equity Research and Equity Products. You will design controls, coordinate with Legal, Compliance and Internal Audit, and ensure coverage of regulatory requirements.

The role focuses on mitigating risk while supporting revenue-generating activities. You will lead first-line supervision protocols, promote a culture of compliance, and actively identify gaps for