Vice President, CM Supervision

Role Summary

Supervisory Execution

• Maintain and execute controls for FINRA, CIRO, Montreal Exchange, and FCA requirements.
• Perform electronic communications surveillance and investigate regulatory inquiries.
• Document and maintain Written Supervisory Procedures and related policies.
• Report supervisory results and heightened risks to senior management.
• Remediate regulatory issues and control deficiencies identified through testing programs.
• Explore AI and automation opportunities to improve monitoring efficiency.

Advisory and Risk Work

• Provide regulatory and supervisory guidance to Global Equity Research and Equity Products stakeholders.
• Provide front-office onboarding and registration guidance and administration.
• Contribute to regulatory training.
• Participate in risk assessments and escalate new risks identified through monitoring.
• Analyze regulatory changes and assist with developing required controls.

Knowledge and Experience

• An undergraduate degree is required; an MBA, CPA, LLB, or JD is preferred.
• Several years of supervision, compliance, or regulatory experience within major broker-dealers is required.
• Five to seven years of relevant financial services experience is required, ideally in Global Equity Research, Equity Products, or related areas.
• Knowledge of BMO Capital Markets products, services, and risk controls is required.
• Strong understanding of U.S., Canadian, and UK regulations is required.
• Knowledge of equity products, trading activities, market structure, and supervisory requirements is required.
• Understanding of enterprise governance and three lines of defense models is required.

Skills and Attributes

• Exceptional written and oral communication, analytical, auditing, problem-solving, negotiation, and influencing skills are required.
• The role requires judgment, discretion, independent priority management, adaptability, and proactive behavior.
• The role requires relationship management across business leadership, Compliance, Audit, Risk, and other corporate functions.
• The candidate should be willing to learn or use AI capabilities to improve the supervision program.

Location

• The required location is Toronto.

Compensation

• The position offers a compensation mix including base salary and incentive pay.
• The stated salary range is CAD $90,000 to $120,000.
• The pay type is salaried, and total compensation may include performance incentives and discretionary bonuses.