Lead BMO registration compliance in Toronto’s hybrid workplace, applying securities regulations, suitability expertise, and team leadership across regulated businesses.

As Manager, Registrations, you will oversee individual and firm registration activities across multiple categories and jurisdictions. You will guide complex matters affecting Investment Dealers, Investment Fund Managers, Exempt Market Dealers, and Portfolio Managers. The position provides advisory support on CIRO Investment Dealer Rules, National Instruments, regulatory filings, and registration risk.

Key Responsibilities:

- Lead registration professionals across licensing and regulatory filing activities
- Oversee registrations, transfers, reinstatements, terminations, and jurisdictional filings
- Review suitability disclosures and provide risk recommendations




- Advise stakeholders on registration structures and regulatory developments
- Maintain policies, controls, governance frameworks, and compliance records

Requirements:

- Minimum six years of progressive registrations experience
- Leadership experience within registration or compliance functions
- Experience managing complex individual and firm registrations
- Direct experience with securities regulators and self-regulatory organizations
- Knowledge of CIRO Rules, National Instruments, provincial legislation, and NRD

Bring registration oversight, regulatory judgment, and people leadership to BMO’s Wealth Management Compliance team in Toronto.

📌 BMO Registrations Compliance Manager (Toronto)
🏢 BMO
📍 Toronto