BMO Private Wealth
Financial Services
BranchSupervisionSpecialist
“Branch Supervision Specialist at BMO Private Wealth. Skills: Supervision, Regulatory Compliance, Risk Management. Evaluate supervision strength and effectiveness. Develop action plans to improve supervision”
What You'll Achieve.
Meet all regulatory requirements; Improve supervision; Safeguard our customers’ assets; Maintain their privacy; Act in their best interests; Ensure an effectively run function; Protect the Bank's assets; Comply with all regulatory, legal and ethical requirements
Industry & Context.
Analytical and problem solving skills - In-depth; Data driven decision making - In-depth; Exercises judgment to identify, diagnose, and solve problems within given rules
What They're Looking For.
Must Have
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, Completion of the CIRO Supervisor Exam is required, 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
What You'll Do.
Evaluate supervision strength and effectiveness
Develop action plans to improve supervision
Act as designee on supervision objectives
Provide supervision education
Support branch employees on supervision issues
Conduct independent analysis and assessment
Resolve strategic issues
Support execution of strategic initiatives
Analyze data and information
Provide insights and recommendations
Approve trade transactions
Approve trade amendments
Conduct reviews of insiders
Conduct reviews of social media
Conduct reviews of outgoing correspondence
Act as escalation point for supervision issues
Manage registration requirements
Provide input into operational programs
and manage business processes
Identify business needs
Perform required supervision reviews
Query and Request for Information (RFI)
Follow up on outstanding issues
Perform supervision activities
Maintain service level standards
Follow through on risk and supervision processes
Safeguard customers' assets
Maintain customer privacy
Act in customers' best interests
Ensure effectively run function
Protect Bank's assets
Comply with regulatory requirements
Comply with legal requirements
Comply with ethical requirements
Work independently on complex tasks
Apply Risk Management Framework
Make risk informed decisions
How You'll Work.
Team & Collaboration
Work closely with internal/external stakeholders; Ensure alignment between stakeholders; Collaborate with internal teams
Communication Scope
Verbal & written communication skills - In-depth
Process & Methodology
Lead/participate in design, implementation and management of core business/group processes
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