Branch Supervision Specialist – BPIC
Job in
Toronto, Ontario, M5A, Canada
Listing for:
BMO
Full Time
position
Listed on 2026-02-27
Job specializations:
-
Management
Risk Manager/Analyst
Job Description & How to Apply Below
Final date to receive applications:
03/01/2026
Address:
100 King Street West
Job Family Group:
Business Management
Department Overview:
Supervision, Support and Governance (SS&G) is responsible for managing the overall risk and governance for BMO Private Wealth. The National Branch Supervision team, which is part of the broader SS&G team, provides Tier 1/first line regulatory oversight for BPIC and BMO Nesbitt Burns activities. Supervision of the sales activity of these lines of business is a regulatory requirement.
Job description:
Working with the Director, Branch Supervision, other immediate team members and internal partners, the successful candidate has primary accountability to supervise electronic communication and social media activity by BPIC Investment Counsellors (“ICs”) and BMO Nesbitt Burns Investment Advisors (“IAs”). This individual will also contribute to the ongoing management of the Branch Supervision program, as well as enhance the program to meet the evolving needs of the marketplace and regulatory environment.
Additionally, the individual will act as a subject matter expert on Advertising and Sales Literature by providing consult to ICs, IAs and other BMO partners.
The key accountabilities for this role include, but are not limited to:
Supervision of IC and IA Electronic Communication and Social Media activity
Supports sales supervision activities and regulatory activities for designated branches to meet all regulatory requirements.Daily oversight of IC electronic communication and social media activity by monitoring social media profiles, posts and activity.Performs supervision activities to meet regulatory requirements and maintain service level standards.Coordinate with Branch Supervision resolution of any issues identified as a part of the oversight process and escalate issues where necessary.Evaluates the strength and effectiveness of supervision and adoption of policies, processes at the branch level and develops actions plans to improve supervision.Make recommendations regarding the enhancement of the supervisory system and policies, when required.Deliver training to ICs and support staff on the topic of Advertising and Sales literature.As a member of the broader Supervision, Support and Governance team, support various broader initiatives from time to timePerforms other required supervision reviews (delegated tasks) such as Global Relay Email Review, Tier 1 Daily Trade Review, Monthly Activity Review. Query and Request for Information (RFI) and follows up on outstanding issues.Other duties as assigned.Risk Management and Control
Together with Director, Branch Supervision, ensure appropriate supervisory coverage is maintained at all timesFacilitate responses to internal and external audit inquiries in coordination with the Director, Branch Supervision.Focus on business ethics, regulatory and compliance practicesIdentifies business needs, designs/develops tools and training programs; may include delivery of training to audiences.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.Exercises judgment to identify, diagnose, and solve problems within given rules.Works independently on a range of complex tasks, which may include unique situations.Coaching and Guidance
Act as a relationship manager with ICs and IAs in coaching on Advertising and Sales LiteraturePromote risk awareness and a compliant environmentDevelop communications related to or in support of the Supervision programProvide on-going support and guidance to Branch Supervision teamsKey Interactions
The following internal interactions constitute an integral part of this position:
On-going interactions with ICs, Regional Directors of Investments (RDI), Regional Directors of Supervision (RDS),…
Note that applications are not being accepted from your jurisdiction for this job currently via this jobsite. Candidate preferences are the decision of the Employer or Recruiting Agent, and are controlled by them alone.
To Search, View & Apply for jobs on this site that accept applications from your location or country, tap here to make a Search:
Search for further Jobs Here:
