Director, Global I&CB CM Supervision

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BMO Capital Markets is a leading, full-service financial services provider. We offer corporate and investment banking, treasury management, as well as research and advisory services to clients around the world. #bmocapitalmarkets

ROLE SUMMARY

The Director, Global I&CB - Capital Markets Supervision (CMS) will be responsible for overseeing supervision and business risk management functions within BMO Capital Markets, specifically supporting Global Investment and Corporate Banking (I&CB) Lines of Business (LOB’s). This role ensures that supervisory controls are effectively designed and implemented to mitigate risk and support compliant, revenue-generating activities.

KEY ACCOUNTABILITIES

The Director, Global I&CB CM Supervision leads a team accountable for the oversight and effectiveness of the First Line of Defense supervisory framework, supporting the Global I&CB businesses. The role provides guidance on regulatory risk management activities and validates that supervisory controls are appropriately designed, implemented, and operating effectively to support compliant revenue‑generating activities.

The Global Head of I&CB has formally delegated the authority to the Director, I&CB Supervision to partner and assess regulatory risks, evaluate control effectiveness, and drive remediation where gaps are identified. The role serves as a key liaison between the Line of Business and enterprise stakeholders, including Second Line Compliance, Enterprise Legal and Regulatory Compliance, Internal and External Audit, Financial Risk, Operational Risk, and Regulators (e.g., FINRA, CIRO).

The position has material accountability for the design, governance, and ongoing execution of supervisory controls, including monitoring programs, risk assessments, and issue management processes. The Director is also responsible for fostering a strong culture of compliance across Global I&CB, promoting proactive risk identification and control enhancement.

The role works closely with team members across I&CB and Global Markets, as well as with US and UK counterparts, to ensure consistency of supervisory standards and cross‑jurisdictional alignment where applicable.

CORE RESPONSIBILITIES

Supervisory Oversight / Execution

• Act as Global Team lead, synchronizing practices where appropriate
• Directly face-off with I&CB Senior Management, developing formal reporting that evidence supervisory results and highlights any areas of heightened risk
• Assess industry peers and advance the I&CB Supervision program, actively looking to introduce AI and automation
• Oversee the development and execution of the Monitoring and Testing (M&T) plans
• Identify and interpret regulatory requirements applicable to Global I&CB businesses
• Act as the primary contact and representative for I&CB on regulatory inquiries and exams by Regulators, Audit, Compliance and ONFR
• Lead the annual Regulatory Compliance Risk Assessment process
• Partner with Regulatory Transformation and Compliance to assess the impact of regulatory changes and define appropriate supervisory responses
• Oversee remediation of regulatory issues
• Supervise electronic communications surveillance
• Oversee the development, maintenance, and execution of Written Supervisory Procedures (WSP’s)

LOB Advisory

• Provide regulatory guidance to business stakeholders on business expansion and initiatives, including system implementations
• Provide real-time regulatory guidance on deals
• Provide Front Office Personnel Onboarding and Registrations Guidance and Administration
• Contribute to Regulatory Training

Governance

• Management Reporting and Committee Representation
• Define and monitor KRI’s associated with the I&CB Supervision Program

KNOWLEDGE AND EXPERIENCE

Qualifications

• Minimum of 10 years of experience in financial services, with direct knowledge of Investment and/or Corporate Banking along with their regulatory obligations
• Experience in compliance, supervision, or regulatory risk management within a major broker‑dealer
• Strong understanding of U.S. and Canadian regulations related to I&CB business
• Undergraduate degree required; advanced degree (MBA, CPA, JD/LLB) is a plus
• CIRO registrations preferred

Expertise

• Deep understanding of I&CB products, business models, and associated risks
• Strong knowledge of supervisory controls, risk assessment methodologies, and issue management practices
• Solid understanding of enterprise governance structures and three‑lines‑of‑defense models
• Familiarity with market, credit, and operational risk frameworks

SKILLS AND ATTRIBUTES

• Strong leadership, judgment, and decision‑making capabilities
• Be a credible resource to senior business leadership for escalation, clarification, and resolution of supervisory matters
• Excellent written and verbal communication skills, including the ability to distill complex regulatory requirements
• Proven ability to influence and partner with senior stakeholders without direct authority
• Strong analytical and problem‑solving skills
• Ability to manage multiple priorities in a fast‑paced, highly regulated environment
• High degree of professionalism, discretion, and integrity
• Collaborative, service‑oriented leader with a proactive and solutions‑focused mindset
• Ability to provide effective challenge and escalate concerns in a balanced and professional manner
• Seasoned Professional to participate in governance forums, committees, and lead meetings relevant to the effective execution of the supervisory program
• Desire to learn and / or utilize AI capabilities to improve the Supervision Program

LOCATION

Required Location: Toronto, ON

COMPENSATION

This position is important for the future of the organization and offers an overall competitive compensation mix including base salary and incentive pay.

The salary range for this role is $130,000 up to $175,000 CAD (subject to the candidate meeting the specific skills, experience, education, and qualification requirements)

PRIVACY

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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.

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