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Added 2 days ago
T
Assistant Branch Manager
TD
Saskatoon, SK
- Full-time
Ownership/oversight of complex daily branch administrative duties, especially as it relates to investments and unsecured credit compliance
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Directeur de Succursale Branch Manager
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- Full-time
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Government of Manitoba
Winnipeg, MB
- Full-time
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Manager, Marketing & Community Impact
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Corner Brook, NL · Mount Pearl, NL · Deer Lake, NL · Gander, NL · NL · Grand Bay East, NL
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B
Manager, Registrations
BMO
Toronto, ON · FCP
- Full-time
Reports to: Senior Manager, Registrations and Continuing Education – Wealth Management Compliance
Added 3 days ago
OM
Events & Group Sales Manager - Time Out Market, Vancouver
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Manager, Branch Oversight and Client Services
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Policy Analyst
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AE
Manager, Marketing and Community Impact
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Reporting to the Chief Operating Officer, the Manager, Marketing and Community Impact leads Atlantic Edge Credit Union's marketing, brand, community impact, sponsorship, and stakeholder…
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SS
Regional Manager – Midwest (SK & MB)
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As the Regional Manager, you will play a critical role in leading and ensuring the success of all locations within your assigned territory. This role blends strategic oversight with…
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SS
Regional Manager – Midwest (SK & MB)
Sinclair Supply
Regina, SK
- Full-time
As the Regional Manager, you will play a critical role in leading and ensuring the success of all locations within your assigned territory. This role blends strategic oversight with…
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SS
Regional Manager – Midwest (SK & MB)
Sinclair Supply
Winnipeg, MB
- Full-time
As the Regional Manager, you will play a critical role in leading and ensuring the success of all locations within your assigned territory. This role blends strategic oversight with…
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Environmental Specialist
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Winnipeg, MB
- Full-time
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Responsable des succursales / Branch Manager Canada Quiz Room & Bomb Squad Canada
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Canada Branch Manager – Quiz Room & Bomb Squad
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Associate Director, Compliance
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Legal/Compliance - Associate Director, Compliance
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Associate Director, Compliance
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Toronto, ON
…second-line challenge while partnering constructively with the Branch Manager, Operations and other business…
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Manager, Data Insights (20 Month Contract)
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Toronto, ON
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General Manager
WillScot
Ottawa, ON · Sarnia, ON · Regina, SK · Saskatoon, SK · Prince George, BC · Delta, BC · Gormley, ON · Fort McMurray, AB · Acheson, AB · New Canada, NS · Halifax, NS · Airdrie, AB · Edmonton, AB · Levis, QC · Châteauguay, QC · Winnipeg, MB · Abbotsford, BC · Toronto, ON · ON · MB · AB · SK · NL · Blaketown, NL · Etobicoke, ON · Ft McMurray, AB · Calgary, AB
As the leader of the Region/Market, the General Manager is responsible for driving profitable growth by developing and executing strategic business plans that align with company objectives.…
Added 4 days ago
NB
Manager, Wealth Administration and Operations Support
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Vancouver, BC
- Full-time
A career as an Manager, Administration & Operations in the Wealth Management team at National Bank means acting as a strategic operational partner for one of our largest wealth management…
Added 4 days ago
UR
Service Manager
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Added 4 days ago
Senior Project Lead
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Added 4 days ago
C
Branch Administrator Wood Gundy
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Toronto, ON
- Full-time
…developing employee capability and managing performance. As a Branch Administrator, you will be accountable for effectively managing all administrative aspects of Wood Gundy branch…

BMO

Manager, Registrations

Toronto, ON, Canada
FCP, Canada

$70,000.00 - $150,000.00 · Full-time

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Job details

Pay: $70,000.00 - $150,000.00
Job type: Full-time
Apply by: Nov 7, 2026
Experience: Typically minimum 6 years of progressive registrations experience within a securities dealer, asset management firm, or securities regulator.
Posting language: English
Posted: Oct 22, 2026

Original job description

Application Deadline:

11/06/2026

Address:

100 King Street West

Job Family Group:

Audit, Risk & Compliance

Location: Toronto, ON (Hybrid)
Business Unit: Legal & Regulatory Compliance
Reports to: Senior Manager, Registrations and Continuing Education – Wealth Management Compliance

Position Overview

BMO Registrations is responsible for overseeing registration-related matters for individuals and firms operating within BMO's regulated businesses. This includes ensuring compliance with applicable securities regulatory requirements, self-regulatory organization rules, and registration obligations across multiple registration categories and jurisdictions.

Reporting to the Senior Manager - Registrations and Continuing Education, the Manager –Registrations, will lead a team of registration professionals responsible for firm and individual registration activities, regulatory filings, suitability reviews, regulatory reporting, policy development, and advisory support. The successful candidate will serve as a key subject matter expert and escalation point on complex registration matters impacting Investment Dealers, Investment Fund Managers (IFM), Exempt Market Dealers (EMD), and Portfolio Managers (PM).

This role requires extensive registrations experience and a comprehensive understanding of CIRO Investment Dealer Rules, National Instruments, and provincial securities regulatory requirements governing registrant and firm registration.

What Success Looks Like:

The successful candidate will ensure the effective oversight of registration activities across the organization, maintain a high standard of regulatory compliance, provide expert guidance on complex registration matters, strengthen relationships with regulators and business partners, and lead a high-performing team that delivers accurate, timely, and risk-focused registration support.

Key Accountabilities:

Leadership & People Management

Foster a culture aligned with BMO's purpose, values, and strategy by consistently demonstrating BMO values and behaviors in daily work and interactions.
Lead, develop, coach, and manage a team of registration professionals responsible for registration, licensing, and regulatory filing activities across multiple regulated entities.
Establish performance expectations and oversee workflow management to ensure regulatory obligations and service standards are met.
Foster a high-performing, collaborative, and client-focused culture focused on regulatory excellence and continuous improvement.
Provide technical guidance and act as the primary escalation point for complex registration and suitability matters.

Support succession planning, knowledge sharing, training, and professional development within the team.

Registrations Oversight & Regulatory Compliance

Oversee all aspects of individual and firm registration activities, including initial registrations, category changes, transfers, reinstatements, terminations, and jurisdictional filings.
Ensure regulatory filings are completed accurately and within prescribed timelines through the National Registration Database (NRD) and other regulatory platforms.
Oversee reviews of registration applications involving criminal, civil, financial, regulatory, disciplinary, and other suitability-related disclosures.
Provide guidance and recommendations regarding registrant suitability and regulatory risk matters.
Ensure ongoing compliance with applicable securities legislation, registration requirements, and regulatory reporting obligations.
Maintain oversight of licensing and registration requirements across the firm's registered entities and jurisdictions.

Advisory & Regulatory Expertise

Act as a trusted advisor to Compliance, Legal, Human Resources, Branch Management, Business Supervisory Personnel, and senior leadership on registration-related matters.
Interpret and provide guidance regarding CIRO Investment Dealer Rules, securities legislation, National Instruments, and regulatory notices.
Advise stakeholders on registration structures, permitted activities, outside activities, proficiency requirements, and regulatory developments.
Support regulatory examinations, audits, inquiries, and investigations related to registration matters.

Risk Management & Governance

Identify, assess, and escalate registration-related regulatory risks to senior management and the Chief Compliance Officer, where appropriate.
Develop, maintain, and enhance registration policies, procedures, controls, and governance frameworks.
Recommend process improvements to strengthen controls, improve efficiency, and mitigate regulatory risk.
Ensure appropriate documentation, recordkeeping, and evidence of regulatory compliance is maintained.

Regulatory Relations

Build and maintain effective working relationships with CIRO, provincial and territorial securities regulators, and other regulatory stakeholders.
Manage communications and responses to regulators concerning registration matters.
Represent the department in regulatory consultations, industry working groups, and regulatory initiatives as required.

Strategic Initiatives & Projects

Lead or participate in strategic regulatory, operational, and technology initiatives impacting registration processes.
Partner with Technology, Operations, Compliance, Legal, and business stakeholders on system enhancements and regulatory change initiatives.
Support implementation of new regulatory requirements, registration frameworks, and compliance programs.

Qualifications:

Experience

Typically minimum 6 years of progressive registrations experience within a securities dealer, asset management firm, or securities regulator.
Demonstrated leadership experience, with previous people management experience within a registration or compliance function considered an asset.
Demonstrated experience managing complex individual and firm registration matters.
Experience interacting directly with securities regulators and self-regulatory organizations.
Experience supporting multiple registration categories, including Investment Dealer, Investment Fund Manager, Exempt Market Dealer, and Portfolio Manager registrations.

Knowledge & Technical Expertise

Extensive knowledge of:
CIRO Investment Dealer Rules
National Instrument 31-103 Registration Requirements, Exemptions and Ongoing Registrant Obligations
National Instrument 33-109 Registration Information
Applicable provincial and territorial securities legislation
Registration, proficiency, and suitability requirements applicable to registered individuals and firms
NRD processes and regulatory filing requirements
Strong understanding of:
Dealer, asset management, and wealth management business models
Registration governance and regulatory risk management
Regulatory investigations, disclosure obligations, and suitability assessments

Skills & Competencies

Exceptional leadership and people management skills.
Strong judgment and decision-making capabilities.
Advanced analytical and risk assessment skills.
Excellent written, verbal, and presentation skills.
Ability to influence and build credibility with regulators, senior management, and business stakeholders.
Strong organizational skills with the ability to manage multiple priorities in a fast-paced regulatory environment.
Proven ability to resolve complex issues and drive practical, risk-based solutions.

Salary:

$70,000.00 - $150,000.00

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: https://jobs.bmo.com/global/en/Total-Rewards

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 https://jobs.bmo.com/ca/en.

BMO is committed to an inclusive, equitable and accessible workplace. By learning from each other’s differences, we gain strength through our people and our perspectives. Accommodations are available on request for candidates taking part in all aspects of the selection process. To request accommodation, please contact your recruiter.

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.

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More about this job

Responsibilities

The Manager of Registrations leads a team responsible for firm and individual registration activities, regulatory filings, and compliance oversight across regulated businesses. They serve as a subject matter expert, providing advisory support and managing complex registration matters while ensuring adherence to securities legislation and regulatory requirements.

Requirements

Candidates must have at least 6 years of progressive experience in registrations within a securities dealer, asset management firm, or regulatory body. A comprehensive understanding of CIRO rules, National Instruments, and regulatory filing processes is required, along with strong leadership and analytical skills.

Skills

Regulatory compliance
Registration oversight
People management
Risk management
Policy development
Regulatory reporting
Suitability reviews
CIRO Investment Dealer Rules
National Instrument 31-103
National Instrument 33-109
NRD processes
Strategic planning
Stakeholder management
Regulatory filings
Compliance advisory
Governance frameworks

Benefits

Health insurance
Tuition reimbursement
Accident insurance
Life insurance
Retirement savings plans
Performance-based incentives
Discretionary bonuses

Visa sponsorship

Not detected in the job text

Keywords

Registrations
Compliance
Regulatory
CIRO
Securities
Investment Dealer
Portfolio Manager
Exempt Market Dealer
Investment Fund Manager
NRD
Risk Management
Governance
Licensing
Audit
Wealth Management
Policy
Reporting
Suitability
Advisory
Stakeholder Relations
Regulatory Filings
National Instrument 31-103
National Instrument 33-109
People Management
Strategic Initiatives

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