Vice President, CM Supervision
Core
Oversee supervision and regulatory risk management for Global Equity Research and Equity Products at BMO Capital Markets.
Role type
Vice President, Capital Markets Supervision (Senior, hands-on IC)
Builds
Supervisory controls, compliance protocols, and risk mitigation strategies for equity research and products.
Domain
Financial Services / Capital Markets / Regulatory Compliance
Deliverable
production ML models | product features | dashboards & analysis | research | client delivery | infrastructure | physical/clinical work
Required skills
Regulatory risk management, supervisory controls design, electronic communications surveillance, regulatory inquiry investigation, policy development, risk assessment, stakeholder liaison, AI/automation integration, onboarding administration, training contribution.
Preferred skills
MBA, CPA, LLB, JD, experience in major broker-dealers, deep knowledge of BMO products, advanced degree.
Technologies
MS Excel, MS Word, MS PowerPoint, AI tools
Responsibilities
Maintain and execute controls for regulatory requirements (FINRA, CIRO, MX, FCA), perform electronic communications surveillance, investigate regulatory inquiries, document supervisory procedures, provide LOB advisory on regulatory matters, participate in risk assessments, escalate new risks, analyze regulatory change impacts.
Seniority
Vice President, strategic oversight and execution
