Branch Supervision Administrator - Nesbitt Burns

BMO•Montreal, QC

4d•Onsite

About The Position

Supports sales supervision activities and regulatory activities for designated branches to meet all regulatory requirements. Acts as a designee on supervision objectives for the branch. Provides ongoing supervision education to assigned branch / portfolio. Provides support and guidance to branch employees on supervision issues. Supports the execution of strategic initiatives in collaboration with internal and external stakeholders. Identifies, reports and manages all supervision issues and irregularities according to guidelines. Supports applicable supervision responsibilities as per guidelines. Performs required daily/monthly supervision reviews, including reviewing branch reports. Performs required supervision reviews (delegated tasks) such as Global Relay Email Review, Gateway Message Review, Daily Trade Review, Monthly Activity Review, Quarterly Meridian Report Review, Outstanding Documentation Review. Query and Request for Information (RFI) and follows up on outstanding issues. Executes work to deliver timely, accurate, and efficient service. 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 may be on a business/group. Thinks creatively and proposes new solutions. Exercises judgment to identify, diagnose, and solve problems within given rules. Works mostly independently. Broader work or accountabilities may be assigned as needed. Take measured risks while protecting the bank by applying our Risk Management Framework in the execution of your role, in line with our Risk Culture and within our approved Risk Appetite, making sound and risk informed decisions that align to business strategy, protect assets, and adhere to applicable policy documents (Frameworks, Policies, Standards, Procedures and Supporting documents), laws and regulations.

Requirements

Typically three to five years of relevant professional experience, ideally acquired within an investment brokerage firm, along with a post-secondary diploma in a related field, or an equivalent combination of education and experience.
Demonstrated sound knowledge of supervisory regulations and the financial services industry.
Excellent written and verbal communication skills.
Strong collaboration and teamwork skills.
Excellent analytical and problem-solving abilities.
Strong influencing skills and professional judgment.

Nice To Haves

Preference will be given to candidates who commit to completing the Canadian Investment Regulatory Examination (CIRE) within six months of hire.
A demonstrated interest in growing into a supervisory role, including obtaining the required supervisory licenses, is considered a strong asset.

Responsibilities

Supports sales supervision activities and regulatory activities for designated branches to meet all regulatory requirements.
Acts as a designee on supervision objectives for the branch.
Provides ongoing supervision education to assigned branch / portfolio.
Provides support and guidance to branch employees on supervision issues.
Supports the execution of strategic initiatives in collaboration with internal and external stakeholders.
Identifies, reports and manages all supervision issues and irregularities according to guidelines.
Supports applicable supervision responsibilities as per guidelines.
Performs required daily/monthly supervision reviews, including reviewing branch reports.
Performs required supervision reviews (delegated tasks) such as Global Relay Email Review, Gateway Message Review, Daily Trade Review, Monthly Activity Review, Quarterly Meridian Report Review, Outstanding Documentation Review.
Query and Request for Information (RFI) and follows up on outstanding issues.
Executes work to deliver timely, accurate, and efficient service.
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.
Thinks creatively and proposes new solutions.
Exercises judgment to identify, diagnose, and solve problems within given rules.
Works mostly independently.
Broader work or accountabilities may be assigned as needed.
Take measured risks while protecting the bank by applying our Risk Management Framework in the execution of your role, in line with our Risk Culture and within our approved Risk Appetite, making sound and risk informed decisions that align to business strategy, protect assets, and adhere to applicable policy documents (Frameworks, Policies, Standards, Procedures and Supporting documents), laws and regulations.