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 new 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 robust 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