Branch Supervision Specialist

2828 boul Laurier VILLE DE QUEBEC Quebec,G1V 0B9

Role is related to governance and compliance of transactions carried out by Nesbitt Burns Investment advisors in Quebec City.

Work arrangement: Hybrid mode

Supports sales supervision activities and regulatory activities for designated branches to meet all regulatory requirements **_(Nesbitt Burns branch in Quebec city)._**
- 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.
- Canadian Securities Course (CSC), Conduct and Practices Handbook Exam (CPH)

Investment Dealer Supervisors Course (IDSC) within 2 months of your start date

Derivatives Fundamentals and Options Licensing Course (DFOL) within12 months of your start date

Options Supervisors Course (OPSC) within 12 months of your start date
- 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.

You're fluent in French and English to support business operations outside the province of Quebec.

**Salary**:
$54,500.00 - $101,500.00

**Pay Type**:
Salaried

The above represents BMO Financial Group’s pay range and type.

Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group’s expected target for the first year in this position.

**About Us**

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.