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ROLE SUMMARY

The Director, Global I&CB - Capital Markets Supervision (CMS) will be responsible for overseeing supervision and business risk management functions within BMO Capital Markets, specifically supporting Global Investment and Corporate Banking (I&CB) Lines of Business (LOB's). This role ensures that supervisory controls are effectively designed and implemented to mitigate risk and support compliant, revenue-generating activities.

KEY ACCOUNTABILITIES

The Director, Global I&CB CM Supervision leads a team accountable for the oversight and effectiveness of the First Line of Defense supervisory framework, supporting the Global I&CB businesses. The role provides guidance on regulatory risk management activities and validates that supervisory controls are appropriately designed, implemented, and operating effectively to support compliant revenuegenerating activities.

The Global Head of I&CB has formally delegated the authority to the Director, I&CB Supervision to partner and 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 (e.g., FINRA, CIRO).

The position has material accountability for the design, governance, and ongoing execution of supervisory controls, including monitoring programs, risk assessments, and issue management processes. The Director is also responsible for fostering a strong culture of compliance across Global I&CB, promoting proactive risk identification and control enhancement.

The role works closely with team members across I&CB and Global Markets, as well as with US and UK counterparts, to ensure consistency of supervisory standards and crossjurisdictional alignment where applicable.

CORE RESPONSIBILITIES

Supervisory Oversight / Execution

• Act as Global Team lead, synchronizing practices where appropriate
• Directly face-off with I&CB Senior Management, developing formal reporting that evidence supervisory results and highlights any areas of heightened risk
• Assess industry peers and advance the I&CB Supervision program, actively looking to introduce AI and automation
• Oversee the development and execution of the Monitoring and Testing (M&T) plans
• Identify and interpret regulatory requirements applicable to Global I&CB businesses
• Act as the primary contact and representative for I&CB on regulatory inquiries and exams by Regulators, Audit, Compliance and ONFR
• Lead the annual Regulatory Compliance Risk Assessment process
• Partner with Regulatory Transformation and Compliance to assess the impact of regulatory changes and define appropriate supervisory responses
• Oversee remediation of regulatory issues
• Supervise electronic communications surveillance
• Oversee the development, maintenance, and execution of Written Supervisory Procedures (WSP's)

LOB Advisory

• Provide regulatory guidance to business stakeholders on business expansion and initiatives, including system implementations
• Provide real-time regulatory guidance on deals
• Provide Front Office Personnel Onboarding and Registrations Guidance and Administration
• Contribute to Regulatory Training

Governance

• Management Reporting and Committee Representation
• Define and monitor KRI's associated with the I&CB Supervision Program

KNOWLEDGE AND EXPERIENCE

Qualifications

• Minimum of 10 years of experience in financial services, with direct knowledge of Investment and/or Corporate Banking along with their regulatory obligations
• Experience in compliance, supervision, or regulatory risk management within a major brokerdealer
• Strong understanding of U.S. and Canadian regulations related to I&CB business
• Undergraduate degree required; advanced degree (MBA, CPA, JD/LLB) is a plus
• CIRO registrations preferred

Expertise

• Deep 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 threelinesofdefense models
• Familiarity with market, credit, and operational risk frameworks

SKILLS AND ATTRIBUTES

• Strong leadership, judgment, and decisionmaking capabilities
• Be a credible resource to senior business leadership for escalation, clarification, and resolution of supervisory matters
• Excellent written and verbal communication skills, including the ability to distill complex regulatory requirements
• Proven ability to influence and partner with senior stakeholders without direct authority
• Strong analytical and problemsolving skills
• Ability to manage multiple priorities in a fastpaced, highly regulated environment
• High degree of professionalism, discretion, and integrity
• Collaborative, serviceoriented leader with a proactive and solutionsfocused mindset
• Ability to provide effective challenge and escalate concerns in a balanced and professional manner
• Seasoned Professional to participate in governance forums, committees, and lead meetings relevant to the effective execution of the supervisory program
• 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 $170,000 up to $220,000 USD (subject to the candidate meeting the specific skills, experience, education, and qualification requirements)

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