Managed Accounts Supervision Specialist, Private Wealth
Core
Oversee investment suitability and regulatory compliance for BMO Nesbitt Burns Managed Account programs, ensuring client agreements and investment guidelines are followed.
Role type
Supervision Specialist (Private Wealth)
Builds
Compliance oversight for managed client accounts
Domain
Financial Services / Wealth Management
Deliverable
client delivery
Required skills
suitability review, KYC review monitoring, regulatory compliance, process improvement, training program design, MS Excel, analytical skills
Preferred skills
problem diagnosis, stakeholder coaching, audit response coordination, strategic initiative support
Technologies
MS Excel
Responsibilities
Complete suitability reviews of Managed Client Account Agreements; monitor quarterly oversight to ensure compliance with Client Account Agreements and investment guidelines; coordinate resolution of issues identified in daily and quarterly oversight; facilitate responses to internal and external audits; design and deliver training programs; support branch supervision on Client Account Agreements and Investment Policy Statements updates.
Seniority
Mid-level, hands-on IC