Date limite pour présenter sa candidature :
Adresse :
100 King Street West

Groupe de famille d'emploi :
Ventes et service, Marchés des capitauxAdditional Job Description

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. #bmocapitalmarkets

Role Summary
The Vice President, Capital Markets Supervision (CMS) will be responsible for overseeing supervision and regulatory risk management functions within BMO Capital Markets. The role will provide supervisory coverage across Global Equity Research and Equity Products, with responsibilities aligned to the regulatory risks, control requirements, and priorities of both businesses. This position is responsible for ensuring that supervisory controls are effectively designed and implemented to mitigate regulatory risk and support compliant, revenue-generating activities.

KEY ACCOUNTABILITIES
The VP, CM Supervision will oversee the performance of BMO Capital Markets Business Unit regulatory risk management functions. The incumbent will support both Global Equity Research and Equity Products, working with each business to assess regulatory risks, execute supervisory responsibilities, and ensure appropriate controls are in place.

The VP, CM Supervision will act as a liaison between multiple groups and the supported LOBs, 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 the regulatory obligations, products, personnel, and activities associated with Global Equity Research and Equity Products.

Developing and maintaining first-line supervision protocols for monitoring controls.

Promoting a culture of compliance across Global Equity Research and Equity Products businesses to enable proactive gap analysis.

CORE RESPONSIBILITIES
Supervisory Execution

Maintain and execute controls for various regulatory requirements (e.g., FINRA, CIRO, Montreal Exchange (MX), FCA).

Perform electronic communications surveillance.

Investigate and respond to regulatory inquiries.

Document and maintain Written Supervisory Procedures and related Policies and Procedures applicable to Global Equity Research and Equity Products.

Assist in the interpretation of new and existing regulatory requirements applicable to Global Equity Research and Equity Products.

Contribute to the formal reporting of supervisory results to Global Equity Research and Equity Products Senior Management, highlighting any areas of heightened risk.

Investigate and respond to regulatory inquiries from 2nd Line Compliance, External Regulators and internal information requests from Audit and Control Testing teams.

Assist in the documentation and remediation of regulatory issues and/or address control deficiencies highlighted by the 3 Lines of Defense Testing Programs. Actively explore opportunities to introduce AI and automation into the monitoring process to improve efficiency.





LOB Advisory

Provide regulatory and supervisory guidance to Global Equity Research and Equity Products stakeholders on business initiatives, regulatory requirements, and matters requiring supervisory judgment.

Provide Front Office Personnel Onboarding and Registrations Guidance and Administration.

Contribute to Regulatory Training.

Risk Assessments

Participate in risk assessments impacting Global Equity Research and Equity Products.

Identify and elevate current risks that arise from monitoring activities to business management and 2nd line Compliance and feed through applicable risk assessment programs.

Work closely with the Regulatory Transformation Department and Compliance to analyze the impact of regulatory changes on Global Equity Research and Equity Products and assist in developing requisite controls.

KNOWLEDGE AND SKILLS
Knowledge

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

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

5-7 years of relevant experience in financial services, ideally in Global Equity Research, Equity Products, 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, Montreal Exchange (MX), OSFI, Federal Reserve, FCA).

Knowledge of equity products, trading activities, market structure, and related supervisory or regulatory requirements.

Solid understanding of enterprise governance structures and three lines of defense models.

Skills and Attributes

Exceptional written and oral communication skills, including the ability to distill complex regulatory requirements and discern applicability to BMO CM, Global Equity Research, and Equity Product.

Ability to influence and negotiate effectively.

Be a credible resource to senior business leadership for clarification and resolution of supervisory matters.

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.

Proven ability to interact with senior stakeholders and manage relationships across all three Lines of Defense and Corporate Support functions.

Service-oriented, team player, confident leader.

Methodical, analytical, and solution-focused.

Calm under pressure, adaptable, and proactive.

Desire to learn and / or utilize AI capabilities to improve the Supervision Program.

Location:
Required Location: Toronto

COMPENSATION
This position is important for the future of the organization and offers an overall competitive compensation mix including base salary and incentive pay.

PRIVACY




At BMO Financial Group your privacy is our priority. Our Privacy Code outlines our commitment to you and is designed to comply with applicable Privacy legislation in Canada. To view a copy of the Bank’s privacy policy please visit our website at http://www.bmo.com, scroll to the bottom of the page and click on the Privacy link.

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

Salaire :
Type de rémunération :

Salaire

Ce qui précède représente la fourchette et le type de rémunération de BMO Groupe financier.

Les salaires varieront en fonction de facteurs comme l’emplacement, les compétences, l’expérience, les études et les qualifications pour le poste et pourront inclure une structure de commissions. Les salaires pour les postes à temps partiel seront calculés au prorata du nombre d’heures travaillées régulièrement. Pour les rôles à commission, le salaire susmentionné représente la cible de BMO Groupe financier pour la première année au poste.

La rémunération totale offerte par BMO variera selon le type de rémunération associé au poste et peut comprendre des primes de rendement, des primes discrétionnaires ainsi que d’autres avantages et récompenses. BMO offre également une assurance santé, le remboursement des frais de scolarité, une assurance accident et une assurance vie, ainsi que des régimes d’épargne-retraite. Pour en savoir plus sur nos avantages sociaux, consultez le site : https://jobs.bmo.com/ca/fr/R%C3%A9mun%C3%A9ration-globale

À propos de nous
À BMO, nous sommes animés par une raison d’être commune : Avoir le cran de faire une différence dans la vie, comme en affaires. Cette raison d’être nous invite à entraîner des changements positifs et durables pour nos clients, nos collectivités et nos gens. En travaillant ensemble, en innovant et en repoussant les limites, nous transformons des vies et des entreprises et favorisons la croissance économique partout dans le monde.

En tant que membre de l'équipe de BMO, vous êtes valorisé, respecté et entendu, et vous avez plus de moyens pour progresser et obtenir des résultats. Nous nous efforçons de vous aider à obtenir des résultats dès le premier jour, pour vous-même et nos clients. Nous vous offrirons les outils et les ressources dont vous avez besoin pour franchir de nouvelles étapes, car vous aidez nos clients à franchir les leurs. Au moyen de formation et de coaching approfondis ainsi que de soutien de la direction et d'occasions de réseautage, nous vous aiderons à acquérir une expérience enrichissante et à élargir votre groupe de compétences.

Pour en savoir plus, visitez-nous à l'adresse https://jobs.bmo.com/ca/fr.

BMO s'engage à offrir un milieu de travail inclusif, équitable et accessible. Nous apprenons de nos différences et tirons notre force des gens et de leurs différents points de vue. Des mesures d’adaptation sont disponibles sur demande pour les candidats qui participent à tous les aspects du processus de sélection. Pour demander des mesures d’adaptation, veuillez communiquer avec votre recruteur.

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📌 Vice president, cm supervision (Ontario)
🏢 BMO Financial Group
📍 Ontario