Manager, Registrations
Core
Lead a team of registration professionals overseeing firm and individual registration activities, regulatory filings, suitability reviews, and policy development for BMO's regulated businesses.
Role type
Senior IC manager (registrations & compliance)
Builds
Registration compliance frameworks and regulatory reporting for Investment Dealers, Investment Fund Managers, Exempt Market Dealers, and Portfolio Managers
Domain
Financial services / Securities regulation
Required skills
Securities registration expertise, team leadership, regulatory risk assessment, policy development, stakeholder advisory
Preferred skills
People management experience, direct regulator interaction, complex suitability matter resolution
Technologies
National Registration Database (NRD), regulatory filing platforms
Responsibilities
Lead and develop a team of registration professionals; oversee individual and firm registration activities and regulatory filings; act as escalation point for complex registration and suitability matters; advise stakeholders on regulatory requirements and risk; build relationships with securities regulators.
Seniority
Senior, hands-on IC with people management