Regional Supervision Officer, Private Wealth
BMO — Toronto, ON, CAN
Posted 2026-10-08
Application Deadline: 10/21/2026 Address: 100 King Street West Job Family Group: Business Management As a Regional Supervision Officer, you will play a critical role in supporting the risk management, regulatory oversight, and supervisory framework of BMO Nesbitt Burns. Working closely with Branch Managers, Investment Advisors, Associate Investment Advisors, Compliance, and operational partners, you will help ensure branch activities are conducted in accordance with CIRO, securities regulations, and internal policies. Key responsibilities include: Provide day-to-day supervision and regulatory oversight for designated branches and advisory teams. Review and approve new accounts, account updates, trade activity, and other regulatory submissions in accordance with firm policies and industry requirements. Conduct supervision reviews related to suitability, insider activity, outside business activities, correspondence, and social media monitoring. Monitor branch activity, identify emerging risks, investigate supervisory concerns, and recommend appropriate remediation where required. Act as a trusted advisor to Branch Managers and advisory teams on regulatory requirements, supervision be