BMO Investment Services, Regional Administrative Manager

Supports the branch and/or region in achieving business objectives by providing effective operational support and management of sales compliance and regulatory requirements. Fosters a culture aligned to BMO purpose, values and strategy and role models BMO values and behaviours in all that they do. Ensures alignment between values and behaviour that fosters diversity and inclusion. Regularly connects work to BMO’s purpose, sets inspirational goals, defines clear expected outcomes, and ensures clear accountability for follow through. Builds interdependent teams that collaborate across functional and operating groups to create the highest value for all stakeholders. Attracts, retains, and enables the career development of top talent. Improves team performance, recognizes and rewards performance, coaches employees, supports their development, and manages poor performance. Provides input to the market business development plan. Support the solution and implementation of addressing client concerns and escalations, as required. Performs risk assessments and monitoring to ensure there are no breaches in compliance. Makes recommendations to management about risk and regulatory requirements and compliance. Recommends and implements solutions based on analysis of issues and implications for the business and the client. Assists in the development of strategic plans. Identifies emerging issues and trends to inform decision-making. Supports the execution of strategic initiatives in collaboration with internal and external stakeholders. Helps determine business priorities and best sequence for execution of business/group strategy. Conducts independent analysis and assessment to resolve strategic issues. Acts as the prime contact for internal/external stakeholder relationships, which may include regulators. Coordinates and executes specific activities for the implementation of strategic initiatives; includes tracking metrics and milestones. Builds effective relationships with internal/external stakeholders. Ensures alignment between stakeholders. Breaks down strategic problems, and analyzes data and information to provide insights and recommendations. Coordinates the management of databases; ensures alignment and integration of data in adherence with data governance standards. Monitors and tracks performance and addresses any issues. Designs and produces regular and ad-hoc reports, and dashboards. Ensures the effective implementation of Bank initiatives and programs. Models a mindset for continuous improvement and champions alternatives. Builds change management plans of varying scope and type; leads or participates in a variety of change management activities including readiness assessments, planning, stakeholder management, execution, evaluation and sustainment of initiatives. Leads or participates in defining the communication plan designed to positively influence or change behaviour; develops tailored messaging; and identifies appropriate distribution channels. Prepares documentation of compliance monitoring and risk assessments, and findings to management as per guidelines. Executes administrative reviews and filings according to Bank policies and procedures. Ensures Branch organization and delegation templates are in place and up to date. Monitors daily transactions, monthly transactions, and reports in accordance with regulatory guidelines and internal policies. Supervises cash and securities related responsibilities (cheque and securities deposits, cheque issuance, vault, box count, etc.) and operational compliance in the branch. Oversees maintenance of Policies and Procedures Manual as required by internal and external changes. Leads the execution of operational programs; assesses and adapts as needed to ensure quality of execution. Acts as a subject matter expert on business applications/systems. Monitors operational controls to identify any deficiencies and supports the initiation of appropriate corrective actions to ensure controls are adequate. Identifies and analyzes factors which may affect risk mitigation within the market and compliance with applicable regulatory requirements Monitors to ensures Branch adherence to internal/external Compliance regulations and requirements Provides input into the planning and implementation of operational programs. Executes work to deliver timely, accurate, and efficient service. Sources new sales & service professional candidates. Supports the Trainee mentorship and supervises performance during and subsequent to their 18-month training period. Leads/participates in the design, implementation and management of core business/group processes. Develops and manages a business/group program. Reviews the program for effectiveness, considers industry trends and recommends enhancements; makes changes as required. Identifies business needs, designs/develops tools and training programs; may include delivery of training to audiences. Performs various operational activities to meet business objectives, client needs, and maintain overall service levels. Provides administrative/operational support including financial and transactional processing and reporting, account processing and documentation, compliance processing, and other related activities; ensures proper documentation and administration of decisions. Meets high quality service standards to maximize relationship retention and growth. Identifies and escalates all irregularities and discrepancies to management and compliance as per guidelines. Follows through on risk and compliance processes and policies to ensure we safeguard our customers’ assets, maintain their privacy, act in their best interests, and ensure an effectively run function. Protects the Bank's assets and complies with all regulatory, legal and ethical requirements. Focus is primarily on business/group within BMO; may have broader, enterprise-wide focus. Provides specialized consulting, analytical and technical support. Exercises judgment to identify, diagnose, and solve problems within given rules. Works independently and regularly handles non-routine situations. Broader work or accountabilities may be assigned as needed. Take measured risks while protecting the bank by applying our Risk Management Framework in the execution of your role, in line with our Risk Culture and within our approved Risk Appetite, making sound and risk informed decisions that align to business strategy, protect assets, and adhere to applicable policy documents (Frameworks, Policies, Standards, Procedures and Supporting documents), laws and regulations. Qualifications Typically between 5 - 7 years of relevant experience and post‑secondary degree in related field of study or an equivalent combination of education and experience. FINRA Series 7, 66, and 24 licenses. Sales and service experience preferred. In‑depth operational experience. Supervisory/leadership experience. In‑depth experience with financial planning products and related technologies. Must meet the licensing and certification requirements for the team / branch / jurisdiction where the mandate is being fulfilled. Deep knowledge and technical proficiency gained through extensive education and business experience. Verbal & written communication skills – In‑depth. Collaboration & team skills – In‑depth. Analytical and problem solving skills – In‑depth. Influence skills – In‑depth. Data driven decision making – In‑depth. Salary $74,000.00 – $138,000.00 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. #J-18808-Ljbffr BMO U.S.