Vice President, Capital Markets Supervision

Application Deadline:

Address: 151 W 42nd Street

Job Family Group: Capital Mrkts Sales & Service

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

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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 details of our benefits, please visit: https://jobs.bmo.com/global/en/Total-Rewards