Regional Supervision (Compliance) Officer

작업 내용

Address

595 Burrard Street

Job Family Group

Business Management

Identified candidate works remotely online supporting BC, and can be situated in any province across Canada.

Supports sales supervision activities and regulatory activities for designated branches to meet all regulatory requirements.

• Acts as a back-up to address escalated supervisory issues as required.
• Makes recommendations to management about risk and regulatory requirements and supervision.
• Provides advice and guidance on appropriate policies, processes and other key execution activities for supervision.
• Recommends and implements solutions based on analysis of issues and implications for the business and the client.
• Assists in the development of strategic plans.
• Identifies emerging issues and trends to inform decision-making.
• Helps determine business priorities and best sequence for execution of business/group strategy.
• Conducts independent analysis and assessment to resolve strategic issues.
• Breaks down strategic problems, and analyses data and information to provide insights and recommendations.
• Performs risk assessments and monitoring to ensure there are no breaches in supervision.
• Documents supervision monitoring and risk assessments and findings for management.
• Executes administrative reviews and filings according to policies and procedures.
• Ensures branch organization and delegation templates are in place and up to date.
• Monitors daily transactions, monthly transactions, and reports in accordance with regulatory guidelines and internal policies.
• Oversees maintenance of Policies and Procedures Manual as required by internal and external changes.
• Monitors operational controls to identify any deficiencies and supports the initiation of appropriate corrective actions to ensure controls are adequate.
• Identifies and analyzes factors which may affect risk mitigation within the market and supervision with applicable regulatory requirements.
• Identifies operational risks, educates employees to avoid operational risks, and creates action plans to correct operational issues that arise.
• Provides approvals for new and updated account, trade transactions and trade amendments.
• Conducts reviews of insiders, social media, and outgoing correspondence.
• Acts as an escalation point for supervision issues/concerns within the branch.
• Manages the registration requirements as required by regulators/ legislation.
• Provides input into the planning and implementation of operational programs.
• Leads/participates in the design, implementation and management of core business/group processes.
• Identifies business needs, designs/develops tools and training programs; may include delivery of training to audiences.
• Performs supervision activities to meet regulatory requirements and maintain service level standards.
• Builds effective relationships with internal/external stakeholders.
• Ensures alignment between stakeholders.
• Follows through on risk and supervision processes and policies to ensure we safeguard our customers’ assets, maintain their privacy, act in their best interests, and ensure an effectively run function.
• Protects the Bank’s assets and complies with all regulatory, legal and ethical requirements.
• Focus is primarily on business/group within BMO; may have broader, enterprise-wide focus.
• Provides specialized consulting, analytical and technical support.
• Exercises judgment to identify, diagnose, and solve problems within given rules.
• Works independently and regularly handles non-routine situations.
• Broader work or accountabilities may be assigned as needed.
  

Qualifications

• Typically between 5 - 7 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience.
• Supervisor registration with an IIROC is an asset
• IIROC or MFDA experience
• Knowledge of all supervision and industry regulations – In-depth.
• Must meet the licensing and certification requirements for the branch / jurisdiction where the mandate is being fulfilled.
• Deep knowledge and technical proficiency gained through extensive education and business experience.
• Verbal & written communication skills - In-depth.
• Collaboration & team skills - In-depth.
• Analytical and problem solving skills - In-depth.
• Influence skills - In-depth.
• Data driven decision making - In-depth.
  

We’re here to help

At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.

As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one – for yourself and our customers. We’ll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we’ll help you gain valuable experience, and broaden your skillset.

To find out more visit us at https://jobs.bmo.com/ca/en .

BMO is committed to an inclusive, equitable and accessible workplace. By learning from each other’s differences, we gain strength through our people and our perspectives. Accommodations are available on request for candidates taking part in all aspects of the selection process. To request accommodation, please contact your recruiter.