Branch Supervision Specialist

4 weeks ago

Toronto, Canada BMO Financial Group Full time

100 King Street West Toronto Ontario,M5X 1A1

**Qualifications**:

- Licensed as an IIROC Investment Representative or Registered Representative for 2+ years (or close to having been)
- Beneficial qualifications include Investment Dealer Supervisors Course, Branch Managers Course, or Options licensing.

Role
- Successful applicant will be working with Investment Advisory teams carrying out Supervisory tasks include account and trade approvals, reviewing suitability of alternative investments for clients and helping advisory teams handle complex client issues which may arise.

Supports sales supervision activities and regulatory activities for designated branches to meet all regulatory requirements. The incumbent will be working with Investment Advisory teams carrying out Supervisory tasks include account and trade approvals, reviewing suitability of alternative investments for clients and helping advisory teams handle complex client issues which may arise.
- 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 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.
- Knowledge of all supervision and industry regulations - In-depth.
- Licensed as an IIROC Investment Representative or Registered Representative for 2+ years (or close to having been)
- Beneficial qualifications include Investment Dealer Supervisors Course, Branch Managers Course, or Options licensing.
- 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.

**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.

  • People Operations Specialist

    4 weeks ago

    Toronto, Canada Branch Furniture Full time

    About BranchBranch is shaking up the $46B office furniture industry to create an office experience for the 21st century: easy, affordable and flexible so you can sit down (or stand) and get to work. Office furniture hasn't changed in a while--about 85 years, in fact. That's the average age of the top twenty-five office furniture companies in America. None of...

  • People Operations Specialist

    4 weeks ago

    Toronto, Ontario, Canada Branch Furniture Full time

    About BranchBranch is shaking up the $46B office furniture industry to create an office experience for the 21st century: easy, affordable and flexible so you can sit down (or stand) and get to work. Office furniture hasn't changed in a while--about 85 years, in fact. That's the average age of the top twenty-five office furniture companies in America. None of...

  • People Operations Specialist

    1 month ago

    Old Toronto, Canada Branch Furniture Full time

    About BranchBranch is shaking up the $46B office furniture industry to create an office experience for the 21st century: easy, affordable and flexible so you can sit down (or stand) and get to work. Office furniture hasn't changed in a while--about 85 years, in fact. That's the average age of the top twenty-five office furniture companies in America. None of...

  • People Operations Specialist

    1 month ago

    Toronto, ON, Canada Branch Furniture Full time

    About Branch Branch is shaking up the $46B office furniture industry to create an office experience for the 21st century: easy, affordable and flexible so you can sit down (or stand) and get to work. Office furniture hasn't changed in a while--about 85 years, in fact. That's the average age of the top twenty-five office furniture companies in...

  • People Operations Specialist

    2 weeks ago

    Old Toronto, Canada Branch Furniture Full time

    About BranchBranch is shaking up the $46B office furniture industry to create an office experience for the 21st century: easy, affordable and flexible so you can sit down (or stand) and get to work. Office furniture hasn't changed in a while--about 85 years, in fact. That's the average age of the top twenty-five office furniture companies in America. None of...

  • People Operations Specialist

    1 month ago

    Old Toronto, Canada Branch Furniture Full time

    About BranchBranch is shaking up the $46B office furniture industry to create an office experience for the 21st century: easy, affordable and flexible so you can sit down (or stand) and get to work. Office furniture hasn't changed in a while--about 85 years, in fact. That's the average age of the top twenty-five office furniture companies in America. None of...

  • Supervising Portfolio Manager

    1 month ago

    Toronto, Canada BMO Financial Group Full time

    100 King Street West Toronto Ontario,M5X 1A1 **Department Overview**: Supervision, Support and Governance (SS&G) is responsible for managing the overall risk and governance for BMO Private Wealth. The Managed Portfolio Account (MPA) Supervision team, which is part of the broader SS&G team, provides regulatory oversight for BMO Nesbitt Burns Managed...

  • Business Supervision Analyst

    4 weeks ago

    Toronto, Canada Scotiabank Full time

    Requisition ID: 174430 As a cornerstone business within Scotia Wealth Management®, ScotiaMcLeod has earned a reputation for integrity based on service excellence and trusted investment advice. Our advisors and teams pride themselves on exploring innovative approaches to protecting and growing their clients' assets. When you join ScotiaMcLeod, you’ll be...

  • Manager, Regulatory Supervision

    7 days ago

    Toronto, Canada CIBC Full time

    We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are...

  • Branch Compliance Examiner

    1 month ago

    Toronto, Canada Raymond James Financial Full time

    **Branch Compliance Examiner** - 2300653 **Job Summary** **Essential Duties and Responsibilities** - Branch Examination: Conduct regular travel to various Branches. Prior to trips you will be required to conduct background reviews of the Branch offices. While there you will meet with staff including Branch Management and review required files. Also, there...

  • Supervising Chef

    4 days ago

    Toronto, Canada Pizzeria via Mercanti Full time

    Education: No degree, certificate or diploma - Experience: 5 years or more **Work setting**: - Restaurant - Urban area **Tasks**: - Instruct cooks in preparation, cooking, garnishing and presentation of food - Prepare and cook complete meals and specialty foods for events such as banquets - Supervise cooks and other kitchen staff - Prepare and cook food on...

  • Scotiamcleod Branch Systems Administrator

    4 weeks ago

    Toronto, Canada Scotiabank Full time

    Requisition ID: 154149 As a cornerstone business within Scotia Wealth Management®, ScotiaMcLeod has earned a reputation for integrity based on service excellence and trusted investment advice. Our advisors and teams pride themselves on exploring innovative approaches to protecting and growing their clients' assets. When you join ScotiaMcLeod, you’ll be...

  • Scotiamcleod Branch Operations Assistant

    1 month ago

    Toronto, Canada Scotiabank Full time

    Requisition ID: 175992 As a cornerstone business within Scotia Wealth Management®, ScotiaMcLeod has earned a reputation for integrity based on service excellence and trusted investment advice. Our advisors and teams pride themselves on exploring innovative approaches to protecting and growing their clients' assets. When you join ScotiaMcLeod, you’ll be...

  • Branch Manager- King

    1 month ago

    Toronto, Canada Meridian Credit Union Full time

    **Our Retail Banking Practice**: At Meridian, our vision is to be recognized as the financial institution that has the most local impact, supported by a purpose-driven value proposition to our Members. We have a passion for Member Experience, ensuring that Meridian maintains its tradition of exceeding Member expectations and “Bringing the Member...

  • Branch Administrator

    1 month ago

    Toronto, Canada CIBC Full time

    We’re building a relationship-oriented bank for the modern world. We need talented, passionate professionals who are dedicated to doing what’s right for our clients. At CIBC, we embrace your strengths and your ambitions, so you are empowered at work. Our team members have what they need to make a meaningful impact and are truly valued for who they are...

  • Assistant Branch Operations Manager

    1 month ago

    Toronto, Canada Royal Bank of Canada Full time

    **Come Work with Us!** At RBC, our culture is deeply supportive and rich in opportunity and reward. You will help our clients thrive and our communities prosper, empowered by a spirit of shared purpose. Whether you’re helping clients find new opportunities, developing new technology, or providing expert advice to internal partners, you will be doing work...

  • ScotiaMcLeod Branch Manager

    3 weeks ago

    Toronto, Canada Scotiabank Full time

    BRIEF INTRODUCTION: The ScotiaMcLeod Branch Manager is responsible for the development and achievement of defined business priorities for the Branch through the profitable delivery of superior client service and wholistic wealth solutions to high and ultra-high net worth clients and businesses.  The incumbent is responsible for leading and coaching...

  • Branch Manager

    3 days ago

    Toronto, Canada Brinks Full time

    About the job Position Overview Reporting to the Area Director the Branch Manager (BM) is responsible for the overall running of branch operations within company policy. They shall ensure proper operation procedures and safety and security regulations are adhered to, while maximizing profitability and maintaining customer service standards. This will be...

  • Branch Manager

    1 day ago

    Toronto, Canada Brink's Canada Full time

    About the job Position Overview Reporting to the Area Director the Branch Manager (BM) is responsible for the overall running of branch operations within company policy. They shall ensure proper operation procedures and safety and security regulations are adhered to, while maximizing profitability and maintaining customer service standards. This will be...

  • Branch Manager

    4 days ago

    Toronto, Canada Cooper Equipment Rentals Limited Full time

    Build your Career at Cooper Equipment Rentals We are looking for a Branch Manager to join the team at our Salmon Arm, BC Branch! Why Work with Us? Perks! Competitive salary Company vehicle + fuel card Excellent benefit package with premiums paid by the company RRSP Match Safety-minded organization Stable, year-round employment with overtime...