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 current 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

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📌 Branch Supervision Administrator (Winnipeg)
🏢 Jobtailor
📍 Winnipeg