Manager, Registrations
Role Overview
BMO Registrations oversees registration matters for individuals and firms operating within regulated businesses.
The Manager leads registration professionals responsible for filings, suitability reviews, regulatory reporting, policy development, and advisory support.
The role is a subject matter expert and escalation point for complex matters affecting investment dealers, investment fund managers, exempt market dealers, and portfolio managers.
Location is Toronto, Ontario, with a hybrid work arrangement.
Key Skills for This Role
Full Job Posting
Position overview
BMO Registrations oversees registration matters for individuals and firms operating within regulated businesses.
The Manager leads registration professionals responsible for filings, suitability reviews, regulatory reporting, policy development, and advisory support.
The role is a subject matter expert and escalation point for complex matters affecting investment dealers, investment fund managers, exempt market dealers, and portfolio managers.
Location is Toronto, Ontario, with a hybrid work arrangement.
Leadership and team management
- Lead, develop, coach, and manage registration professionals across multiple regulated entities.
- Set performance expectations and oversee workflow to meet regulatory obligations and service standards.
- Support succession planning, knowledge sharing, training, and professional development.
- Provide technical guidance and act as the escalation point for complex registration and suitability matters.
Registration oversight and compliance
- Oversee initial registrations, category changes, transfers, reinstatements, terminations, and jurisdictional filings for individuals and firms.
- Ensure filings are accurate and timely through the National Registration Database and other regulatory platforms.
- Oversee reviews of criminal, civil, financial, regulatory, disciplinary, and other suitability disclosures.
- Guide suitability recommendations and regulatory risk matters; maintain compliance with securities laws, registration requirements, and reporting obligations.
Advisory and governance
- Advise Compliance, Legal, Human Resources, Branch Management, business supervisory personnel, and senior leadership on registration matters.
- Interpret CIRO Investment Dealer Rules, securities legislation, National Instruments, and regulatory notices.
- Advise on registration structures, permitted activities, outside activities, proficiency requirements, and regulatory developments.
- Support regulatory examinations, audits, inquiries, and investigations related to registrations.
- Identify and escalate registration risks; develop and enhance policies, procedures, controls, and governance frameworks.
Requirements
- Extensive registrations experience.
- Comprehensive understanding of CIRO Investment Dealer Rules, National Instruments, and provincial securities requirements for registrant and firm registration.
- Leadership and people-management ability, including team development and oversight of registration work.
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