Manager, Registrations

Date limite pour présenter sa candidature :

Adresse :

Groupe de famille d'emploi :

Location: Toronto, ON (Hybrid)
Business Unit: Legal & Regulatory Compliance
Reports to: Senior Manager, Registrations and Continuing Education - Wealth Management Compliance

Position Overview

BMO Registrations is responsible for overseeing registration-related matters for individuals and firms operating within BMO's regulated businesses. This includes ensuring compliance with applicable securities regulatory requirements, self-regulatory organization rules, and registration obligations across multiple registration categories and jurisdictions.

Reporting to the Senior Manager - Registrations and Continuing Education, the Manager -Registrations, will lead a team of registration professionals responsible for firm and individual registration activities, regulatory filings, suitability reviews, regulatory reporting, policy development, and advisory support. The successful candidate will serve as a key subject matter expert and escalation point on complex registration matters impacting Investment Dealers, Investment Fund Managers (IFM), Exempt Market Dealers (EMD), and Portfolio Managers (PM).

This role requires extensive registrations experience and a comprehensive understanding of CIRO Investment Dealer Rules, National Instruments, and provincial securities regulatory requirements governing registrant and firm registration.

What Success Looks Like:

The successful candidate will ensure the effective oversight of registration activities across the organization, maintain a high standard of regulatory compliance, provide expert guidance on complex registration matters, strengthen relationships with regulators and business partners, and lead a high-performing team that delivers accurate, timely, and risk-focused registration support.

Key Accountabilities:

Leadership & People Management

• Foster a culture aligned with BMO's purpose, values, and strategy by consistently demonstrating BMO values and behaviors in daily work and interactions.
• Lead, develop, coach, and manage a team of registration professionals responsible for registration, licensing, and regulatory filing activities across multiple regulated entities.
• Establish performance expectations and oversee workflow management to ensure regulatory obligations and service standards are met.
• Foster a high-performing, collaborative, and client-focused culture focused on regulatory excellence and continuous improvement.
• Provide technical guidance and act as the primary escalation point for complex registration and suitability matters.

• Support succession planning, knowledge sharing, training, and professional development within the team.
  

Registrations Oversight & Regulatory Compliance

• Oversee all aspects of individual and firm registration activities, including initial registrations, category changes, transfers, reinstatements, terminations, and jurisdictional filings.
• Ensure regulatory filings are completed accurately and within prescribed timelines through the National Registration Database (NRD) and other regulatory platforms.
• Oversee reviews of registration applications involving criminal, civil, financial, regulatory, disciplinary, and other suitability-related disclosures.
• Provide guidance and recommendations regarding registrant suitability and regulatory risk matters.
• Ensure ongoing compliance with applicable securities legislation, registration requirements, and regulatory reporting obligations.
• Maintain oversight of licensing and registration requirements across the firm's registered entities and jurisdictions.
  

Advisory & Regulatory Expertise

• Act as a trusted advisor to Compliance, Legal, Human Resources, Branch Management, Business Supervisory Personnel, and senior leadership on registration-related matters.
• Interpret and provide guidance regarding CIRO Investment Dealer Rules, securities legislation, National Instruments, and regulatory notices.
• Advise stakeholders on registration structures, permitted activities, outside activities, proficiency requirements, and regulatory developments.
• Support regulatory examinations, audits, inquiries, and investigations related to registration matters.
  

Risk Management & Governance

• Identify, assess, and escalate registration-related regulatory risks to senior management and the Chief Compliance Officer, where appropriate.
• Develop, maintain, and enhance registration policies, procedures, controls, and governance frameworks.
• Recommend process improvements to strengthen controls, improve efficiency, and mitigate regulatory risk.
• Ensure appropriate documentation, recordkeeping, and evidence of regulatory compliance is maintained.
  

Regulatory Relations

• Build and maintain effective working relationships with CIRO, provincial and territorial securities regulators, and other regulatory stakeholders.
• Manage communications and responses to regulators concerning registration matters.
• Represent the department in regulatory consultations, industry working groups, and regulatory initiatives as required.
  

Strategic Initiatives & Projects

• Lead or participate in strategic regulatory, operational, and technology initiatives impacting registration processes.
• Partner with Technology, Operations, Compliance, Legal, and business stakeholders on system enhancements and regulatory change initiatives.
• Support implementation of new regulatory requirements, registration frameworks, and compliance programs.
  

Qualifications:

Experience

• Typically minimum 6 years of progressive registrations experience within a securities dealer, asset management firm, or securities regulator.
• Demonstrated leadership experience, with previous people management experience within a registration or compliance function considered an asset.
• Demonstrated experience managing complex individual and firm registration matters.
• Experience interacting directly with securities regulators and self-regulatory organizations.
• Experience supporting multiple registration categories, including Investment Dealer, Investment Fund Manager, Exempt Market Dealer, and Portfolio Manager registrations.
  

Knowledge & Technical Expertise

• Extensive knowledge of:
• CIRO Investment Dealer Rules
• National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
• National Instrument 33-109 Registration Information
• Applicable provincial and territorial securities legislation
• Registration, proficiency, and suitability requirements applicable to registered individuals and firms
• NRD processes and regulatory filing requirements
• Strong understanding of:
• Dealer, asset management, and wealth management business models
• Registration governance and regulatory risk management
• Regulatory investigations, disclosure obligations, and suitability assessments
  

Skills & Competencies

• Exceptional leadership and people management skills.
• Strong judgment and decision-making capabilities.
• Advanced analytical and risk assessment skills.
• Excellent written, verbal, and presentation skills.
• Ability to influence and build credibility with regulators, senior management, and business stakeholders.
• Strong organizational skills with the ability to manage multiple priorities in a fast-paced regulatory environment.
• Proven ability to resolve complex issues and drive practical, risk-based solutions.

Salaire :

Type de rémunération :

Ce qui précède représente la fourchette et le type de rémunération de BMO Groupe financier.

Les salaires varieront en fonction de facteurs comme l’emplacement, les compétences, l’expérience, les études et les qualifications pour le poste et pourront inclure une structure de commissions. Les salaires pour les postes à temps partiel seront calculés au prorata du nombre d’heures travaillées régulièrement. Pour les rôles à commission, le salaire susmentionné représente la cible de BMO Groupe financier pour la première année au poste.

La rémunération totale offerte par BMO variera selon le type de rémunération associé au poste et peut comprendre des primes de rendement, des primes discrétionnaires ainsi que d’autres avantages et récompenses. BMO offre également une assurance santé, le remboursement des frais de scolarité, une assurance accident et une assurance vie, ainsi que des régimes d’épargne-retraite. Pour en savoir plus sur nos avantages sociaux, consultez le site : https://jobs.bmo.com/ca/fr/R%C3%A9mun%C3%A9ration-globale

À propos de nous

À BMO, nous sommes animés par une raison d’être commune : Avoir le cran de faire une différence dans la vie, comme en affaires. Cette raison d’être nous invite à entraîner des changements positifs et durables pour nos clients, nos collectivités et nos gens. En travaillant ensemble, en innovant et en repoussant les limites, nous transformons des vies et des entreprises et favorisons la croissance économique partout dans le monde.

En tant que membre de l'équipe de BMO, vous êtes valorisé, respecté et entendu, et vous avez plus de moyens pour progresser et obtenir des résultats. Nous nous efforçons de vous aider à obtenir des résultats dès le premier jour, pour vous-même et nos clients. Nous vous offrirons les outils et les ressources dont vous avez besoin pour franchir de nouvelles étapes, car vous aidez nos clients à franchir les leurs. Au moyen de formation et de coaching approfondis ainsi que de soutien de la direction et d'occasions de réseautage, nous vous aiderons à acquérir une expérience enrichissante et à élargir votre groupe de compétences.

Pour en savoir plus, visitez-nous à l'adresse https://jobs.bmo.com/ca/fr.

BMO s'engage à offrir un milieu de travail inclusif, équitable et accessible. Nous apprenons de nos différences et tirons notre force des gens et de leurs différents points de vue. Des mesures d’adaptation sont disponibles sur demande pour les candidats qui participent à tous les aspects du processus de sélection. Pour demander des mesures d’adaptation, veuillez communiquer avec votre recruteur.

Remarque aux recruteurs : BMO n’accepte pas les curriculum vitæ non sollicités provenant de toute source autre que le candidat directement. Tout curriculum vitæ non sollicité envoyé à BMO, directement ou indirectement, sera considéré comme la propriété de BMO. BMO ne paiera aucuns frais pour les placements découlant de la réception d’un curriculum vitæ non sollicité. Une agence de recrutement doit d’abord détenir une entente de service écrite valide et dûment signée avant d’envoyer des curriculum vitæ.