Branch Supervision (Compliance) Specialist

at  BMO Financial Group

VIRTUAL(R)52 - REMOTE/TELETRAVAIL - BC - NBS XXXXX British Columbia,X0X 0X0
Supports sales supervision activities and regulatory activities for designated branches to meet all regulatory requirements.

Responsibilities:

• Evaluates the strength and effectiveness of supervision and adoption of policies, processes at the branch level and develops actions plans to improve supervision.
• 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.
• Conducts independent analysis and assessment to resolve strategic issues.
• Supports the execution of strategic initiatives in collaboration with internal and external stakeholders.
• Breaks down strategic problems, and analyses data and information to provide insights and recommendations.
• 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 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.
• 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.
• Exercises judgment to identify, diagnose, and solve problems within given rules.
• Works independently on a range of complex tasks, which may include unique situations.
• Broader work or accountabilities may be assigned as needed.

QUALIFICATIONS:

• Typically between 4 - 6 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience.
• Supervisor license with Canadian Investment Regulatory Organization
• 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.
• Technical proficiency gained through education and/or 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.

• Evaluates the strength and effectiveness of supervision and adoption of policies, processes at the branch level and develops actions plans to improve supervision.
• 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.
• Conducts independent analysis and assessment to resolve strategic issues.
• Supports the execution of strategic initiatives in collaboration with internal and external stakeholders.
• Breaks down strategic problems, and analyses data and information to provide insights and recommendations.
• 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 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.
• 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.
• Exercises judgment to identify, diagnose, and solve problems within given rules.
• Works independently on a range of complex tasks, which may include unique situations.
• Broader work or accountabilities may be assigned as needed