Branch Supervision Specialist

Role overview

BMO Private Wealth is focused on building enduring relationships with affluent clients and families. The team delivers tailored guidance across investments, financial planning, and sophisticated banking needs, with a personalized, high-touch approach grounded in disciplined investing and proactive advice.

The Branch Supervision Specialist supports sales oversight and regulatory compliance for designated private wealth branches, helping ensure all required supervisory standards are met.

What you'll do

• Review how effectively branch-level supervision works and how well policies and procedures are being followed, then create action plans to strengthen oversight.
• Serve as a delegated contact for branch supervision objectives.
• Provide ongoing supervision-related education to the assigned branch or portfolio.
• Advise branch employees on supervision matters and act as a point of support.
• Analyze complex situations independently to identify and resolve strategic issues.
• Help implement strategic initiatives with internal and external partners.
• Break down business challenges, examine data, and turn findings into practical recommendations.
• Approve new and updated accounts, trade transactions, and trade amendments.
• Review insider activity, social media activity, and outgoing correspondence.
• Serve as an escalation contact for branch supervision questions and concerns.
• Handle registration obligations in line with regulatory and legislative requirements.
• Contribute to planning and execution of operational programs.
• Lead or participate in the design, rollout, and administration of core business or group processes.
• Identify business needs and create tools and training programs, including delivering training when needed.
• Complete delegated supervision reviews such as Global Relay Email Review, Gateway Message Review, Daily Trade Review, Monthly Activity Review, Quarterly Meridian Report Review, and Outstanding Documentation Review, and follow up on queries and RFIs until issues are closed.
• Carry out supervision work required to satisfy regulatory obligations and service-level expectations.
• Build productive relationships with internal and external stakeholders and help align their priorities.
• Follow risk and supervision controls to protect customers’ assets, preserve privacy, act in clients’ best interests, and keep the function operating effectively.
• Safeguard the bank’s assets while complying with legal, regulatory, and ethical obligations.
• Work mainly within the BMO business/group, with possible enterprise-wide impact.
• Use judgment to spot, diagnose, and resolve problems within established guidelines.
• Handle a variety of complex work independently, including unusual scenarios.
• Take on additional related duties as required.
• Make measured, risk-aware decisions using BMO’s Risk Management Framework and approved risk appetite, following applicable policies, standards, procedures, laws, and regulations.

Qualifications

• Usually 4 to 6 years of relevant experience, plus a post-secondary degree in a related field, or an equivalent mix of education and experience.
• Strong, in-depth knowledge of supervision practices and industry regulations.
• Current CIRO registration in good standing, with the required proficiency to supervise IRs, RRs, Securities, and Options (Retail).
• Chartered Investment Manager (CIM) or Chartered Financial Analyst (CFA) designation is preferred.
• Technical capability developed through education and/or business experience.
• Advanced verbal and written communication skills.
• Strong collaboration and teamwork abilities.
• Advanced analytical and problem-solving skills.
• Strong influence and stakeholder management skills.
• Comfort with data-driven decision-making.

Compensation and benefits

The posted salary range is $56,000.00 to $103,500.00 on a salaried basis. Pay may vary depending on location, skills, experience, education, and qualifications, and the role may include commission. For part-time roles, compensation would be prorated based on regularly worked hours. Where commission applies, the listed salary reflects the expected first-year target compensation.

The total rewards package may include performance-based incentives, discretionary bonuses, and additional perks. Benefits mentioned include health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans.

About BMO

BMO is guided by the purpose of boldly creating positive change for customers, communities, and employees. The organization values collaboration, innovation, and growth, and aims to help employees make an impact from day one through training, coaching, support, and networking opportunities.

Inclusion and accommodation

BMO is committed to an inclusive, equitable, and accessible workplace. Accommodations are available on request for candidates participating in the selection process. To request accommodation, candidates should contact their recruiter.

Recruiter notice

BMO does not accept unsolicited resumes from any source other than a candidate directly. Any unsolicited resumes sent to BMO, directly or indirectly, become BMO property, and no fee will be paid for any placement resulting from such a submission. A recruiting agency must have a valid, written, fully executed agency agreement contract for service before submitting resumes.