Date limite pour présenter sa candidature :

11/06/2026

Adresse :

100 King Street West

Groupe de famille d'emploi :

Audit, gestion des risques et conformité

Location: Toronto, ON (Hybrid)
Business Unit: Legal & Regulatory Compliance
Reports to: Senior Manager, Registrations and Continuing Education - Wealth Management Compliance

Position Overview

BMO Registrations is responsible for overseeing registration-related matters for individuals and firms operating within BMO's regulated businesses. This includes ensuring compliance with applicable securities regulatory requirements, self-regulatory organization rules, and registration obligations across multiple registration categories and jurisdictions.

Reporting to the Senior Manager - Registrations and Continuing Education, the Manager -Registrations, will lead a team of registration professionals responsible for firm and individual registration activities, regulatory filings, suitability reviews, regulatory reporting, policy development, and advisory support. The successful candidate will serve as a key subject matter expert and escalation point on complex registration matters impacting Investment Dealers, Investment Fund Managers (IFM), Exempt Market Dealers (EMD), and Portfolio Managers (PM).

This role requires extensive registrations experience and a comprehensive understanding of CIRO Investment Dealer Rules, National Instruments, and provincial securities regulatory requirements governing registrant and firm registration.

What Success Looks Like:

The successful candidate will ensure the effective oversight of registration activities across the organization, maintain a high standard of regulatory compliance,



provide expert guidance on complex registration matters, strengthen relationships with regulators and business partners, and lead a high-performing team that delivers accurate, timely, and risk-focused registration support.

Key Accountabilities:

Leadership & People Management

- Foster a culture aligned with BMO's purpose, values, and strategy by consistently demonstrating BMO values and behaviors in daily work and interactions.
- Lead, develop, coach, and manage a team of registration professionals responsible for registration, licensing, and regulatory filing activities across multiple regulated entities.
- Establish performance expectations and oversee workflow management to ensure regulatory obligations and service standards are met.
- Foster a high-performing, team-oriented, and client-focused culture focused on regulatory excellence and continuous improvement.
- Provide technical guidance and act as the primary escalation point for complex registration and suitability matters.

- Support succession planning, knowledge sharing, training, and professional development within the team.

Registrations Oversight & Regulatory Compliance

- Oversee all aspects of individual and firm registration activities, including initial registrations, category changes, transfers, reinstatements, terminations, and jurisdictional filings.




- Ensure regulatory filings are completed accurately and within prescribed timelines through the National Registration Database (NRD) and other regulatory platforms.
- Oversee reviews of registration applications involving criminal, civil, financial, regulatory, disciplinary, and other suitability-related disclosures.
- Provide guidance and recommendations regarding registrant suitability and regulatory risk matters.
- Ensure ongoing compliance with applicable securities legislation, registration requirements, and regulatory reporting obligations.
- Maintain oversight of licensing and registration requirements across the firm's registered entities and jurisdictions.

Advisory & Regulatory Expertise

- Act as a trusted advisor to Compliance, Legal, Human Resources, Branch Management, Business Supervisory Personnel, and senior leadership on registration-related matters.
- Interpret and provide guidance regarding CIRO Investment Dealer Rules, securities legislation, National Instruments, and regulatory notices.
- Advise stakeholders on registration structures, permitted activities, outside activities, proficiency requirements, and regulatory developments.
- Support regulatory examinations, audits, inquiries, and investigations related to registration matters.

Risk Management & Governance

- Identify, assess, and escalate registration-related regulatory risks to senior management and the Chief Compliance Officer, where appropriate.
- Develop, maintain, and enhance registration policies, procedures, controls, and governance frameworks.
- Recommend process improvements to strengthen controls, improve

📌 Manager, Registrations (Toronto)
🏢 BMO Financial Group
📍 Toronto