VP, Capital Markets Supervision - US IB Regulatory Risk

BMO Capital Markets is a leading, full-service financial services provider. We offer corporate and investment banking, treasury management, as well as research and advisory services to clients around the world. #bmocapitalmarkets

ROLE SUMMARY

The VP, Capital Markets Supervision (CMS) will be responsible for executing supervision and regulatory risk management functions within BMO Capital Markets, specifically supporting the US Investment Banking (IB) Line of Business (LOB). This role performs supervisory controls, ensuring that they are effectively designed and executed to mitigate risk and support compliant, revenue-generating activities.

KEY ACCOUNTABILITIES

The VP, US IB Supervisor executes and is responsible for the effectiveness of the First Line of Defense supervisory framework, supporting the US IB Line of Business. The role provides guidance on regulatory risk management activities and conducts monitoring activities to validate that the LOB is conforming to applicable regulation and BMO policies. The Global Head of I&CB has formally delegated to the CM Supervision team the authority to assess regulatory risks, evaluate control effectiveness, and drive remediation where gaps are identified. The role serves as a key liaison between the Line of Business and enterprise stakeholders, including Second Line Compliance, Enterprise Legal and Regulatory Compliance, Internal and External Audit, Financial Risk, Operational Risk, and Regulators (i.e., FINRA and SEC). The position is engaged in the design, governance, and ongoing execution of supervisory controls, including monitoring programs, risk assessments, and issue management processes. The VP is also responsible for fostering a strong culture of compliance within US IB, promoting proactive risk identification and control enhancement. The role works closely with team members across I&CB and Global Markets, as well as with Canadian and UK counterparts, to ensure consistency of supervisory standards and cross‑jurisdictional alignment where applicable.

CORE RESPONSIBILITIES

Supervisory Execution Maintain and execute controls for various US IB regulatory requirements Perform electronic communications surveillance Document and maintain Written Supervisory Procedures and related Policies and Procedures, applicable to US IB Assist in the documentation and remediation of regulatory issues and/or address control deficiencies highlighted by the 3 Lines of Defense Testing Programs Investigate and respond to regulatory inquiries from 2nd Line Compliance, External Regulators and internal information requests from Audit Contribute to the formal reporting of Supervisory results back to US IB Senior Management, highlighting any areas of heightened risk Assist in the interpretation of new and existing regulatory requirements applicable to the US IB business Actively explore opportunities to introduce AI and automation into the monitoring process to improve efficiency LOB Advisory Provide regulatory guidance to business stakeholders on initiatives and real-time guidance on IB deals Provide Front Office Personnel Onboarding and Registrations Guidance and Administration Contribute to Regulatory Training Risk Assessments Participate in various risk assessments that impact US IB Identify and escalate new risks that arise from monitoring activities to business management and 2nd line Compliance and feed through applicable risk assessment programs Work closely with Regulatory Transformation Dept and Compliance to analyze the impact of regulatory changes on the US IB LOB and assist in developing requisite controls

KNOWLEDGE AND EXPERIENCE

Qualifications Undergraduate degree required; advanced degree (MBA, CPA, JD/LLB) is a plus 5-7 years of experience in financial services, preferably with direct knowledge of US Investment Banking regulations Experience in compliance, supervision, or regulatory risk management within a major broker‑dealer FINRA registrations are a plus, including Series 24 Expertise Strong understanding of I&CB products, business models, and associated risks Strong knowledge of supervisory controls, risk assessment methodologies, and issue management practices Solid understanding of enterprise governance structures and three‑lines‑of‑defense models Familiarity with market, credit, and operational risk frameworks

SKILLS AND ATTRIBUTES

Strong judgment and decision‑making capabilities Be a credible resource to senior business leadership for clarification and resolution of supervisory matters Excellent written and verbal communication skills, including the ability to distill complex regulatory requirements and discern applicability to BMO CM and US IB Proven ability to interact with senior stakeholders and manage relationships across all three Lines of Defense and Corporate Support functions Strong analytical and problem‑solving skills Ability to manage multiple priorities in a fast‑paced, highly regulated environment High degree of professionalism and integrity Collaborative, service‑oriented leader with a proactive and solutions‑focused mindset Ability to provide effective challenge and escalate concerns in a balanced and professional manner Ability to work independently to execute controls and monitor regulatory risk Ability to deal with sensitive issues with tact and discretion Desire to learn and / or utilize AI capabilities to improve the Supervision Program Location Required Location: New York, NY Compensation This position is important for the future of the organization and offers an overall competitive compensation mix including base salary and incentive pay. The salary range for this role is $140,000 up to $190,000 USD (subject to the candidate meeting the specific skills, experience, education, and qualification requirements)

PRIVACY

At BMO Financial Group your privacy is our priority. Our Privacy Code outlines our commitment to you and is designed to comply with applicable Privacy legislation in Canada. To view a copy of the Bank’s privacy policy please visit our website at , scroll to the bottom of the page and click on the Privacy link. Salary: Pay Type: Salaried The above represents BMO Financial Group’s pay range and type. Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group’s expected target for the first year in this position. BMO Financial Group’s total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards. BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit: About Us At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world. As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one – for yourself and our customers. We’ll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we’ll help you gain valuable experience, and broaden your skillset. To find out more visit us at BMO is proud to be an equal employment opportunity employer. We evaluate applicants without regard to race, religion, color, national origin, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, transgender status, sexual stereotypes, age, status as a protected veteran, status as an individual with a disability, or any other legally protected characteristics. We also consider applicants with criminal histories, consistent with applicable federal, state and local law. BMO is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please send an e-mail to View email address on click.appcast.io and let us know the nature of your request and your contact information. Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes. #J-18808-Ljbffr BMO