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).

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, collaborative, 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 career 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 elevate 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 efficiency, and mitigate regulatory risk.
- Ensure appropriate documentation, recordkeeping, and evidence of regulatory compliance is maintained.

Regulatory Relations

- Build and maintain effective working relationships with CIRO, provincia

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