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Added 2 days ago
BH
Cross-Border Tax Manager (CPA)
Beacon Hill Wealth Management 🇨🇦 🇺🇸
Victoria, BC
- Full-time
…match. The person who owns this role will grow into the firm's senior cross-border tax planner, CFO, and Chief Compliance…
Added 2 days ago
B
Manager, Registrations
BMO
Toronto, ON · FCP
- Full-time
Reports to: Senior Manager, Registrations and Continuing Education – Wealth Management Compliance
Added 2 days ago
TA
Chief Growth Officer, Wealth Management
Thorek/Scott and Partners
ON · Ontario, Canada
- Full-time
Reporting to the CEO, the Chief Growth Officer is a senior executive responsible for growing Assets Under Administration (AUA) through advisor recruiting and retention, organic growth…
Added 3 days ago
P
Associate Director, Compliance
Purpose
Toronto, ON
- Full-time
Reporting to the Chief Compliance Officer (CCO), the Associate Director provides technical leadership, provides day to day management of Compliance resources, establishes program standards…
Added 3 days ago
Legal/Compliance - Associate Director, Compliance
Purpose Unlimited
Toronto, ON
Reporting to the Chief Compliance Officer (CCO), the Associate Director provides technical leadership, provides day to day management of Compliance resources, establishes program standards…
Added 3 days ago
Associate Director, Compliance
Purpose Unlimited
Toronto, ON
Reporting to the Chief Compliance Officer (CCO), the Associate Director provides technical leadership, provides day to day management of Compliance resources, establishes program standards…
Added 4 days ago
Senior Operations Officer
Scotiabank
Toronto, ON
As a Senior Operations Officer, Client Onboarding, you will be responsible for providing oversight/control of client account opening and maintenance documents, to help reduce risk with…
Added 4 days ago
S
Home Financing Officer - Northern Ontario
Scotiabank
Sudbury, ON
- Full-time
…branch, broker, and Home Financing Advisor (HFA) channels. The Senior Analyst conducts file reviews, enhanced due diligence assessments, income verification and accountant statement…
Added 5 days ago
Y
Director, Transitions & Operations
YouPotential
Toronto, ON · Greater Toronto Area, Canada
- Full-time
Q Wealth is growing, and we’re looking for an operations leader who wants to shape how that growth happens. In this role, you’ll own the transition of new partners to Q Wealth from end to…
Added 5 days ago
QW
Director, Transitions & Operations
Q Wealth Partners
Toronto, ON
- Full-time
Q Wealth is growing, and we’re looking for an operations leader who wants to shape how that growth happens. In this role, you’ll own the transition of new partners to Q Wealth from end to…
Added 5 days ago
Executive Assistant
Scotiabank
Toronto, ON
The Executive Assistant provides high-level administrative and strategic support to senior executives and leadership teams, by ensuring crucial support and smooth day to day operations to…
Added 5 days ago
GT
PCO/Accountant - Accounting, Financials, Eclipse
Global Technical Talent, an Inc. 5000 Company
Toronto, ON
- $35 to $40 CAD / hour
- Contract
3–5 years of experience in a Senior IT Project Coordinator, Project Control Officer, or similar role.
Added 8 days ago
M
Senior Field Supervision Manager (Mandarin)
Manulife
Vancouver, BC · Calgary, AB
- Full-time
The Senior Field Supervision Manager is a frontline supervisor responsible for Tier 1 daily supervisory activities for advisors registered with CIRO at Manulife Wealth Inc. The role is…
Added 8 days ago
LB
Chief of Staff
Leo Berwick
Toronto, ON
- Full-time
Leo Berwick is hiring a Chief of Staff to partner with the Managing Partner and senior leadership team. You will build the operating rhythm, data visibility, and execution discipline that…
Added 8 days ago
SL
VP, Business Group Chief Information Security Officer, Canada
Sun Life
Toronto, ON · Sun Life Toronto One York
- Full-time
The Vice-President, Business Group Information Security Officer, Canada (BG CISO) serves as a senior security leader and partner to the Business Group leadership team and Business Group…
Added 9 days ago
Customer Experience Lead - Bovaird & Highway 10 Branch (18.75 hours/week)
Scotiabank
Brampton, ON
Lead and manage your team of Customer Experience Associates and Senior Customer Experience Associates
Added 9 days ago
SS
Financial Reporting, Senior Associate
State Street
Toronto, ON
- Full-time
…fund administration and shareholder recordkeeping, to complete operations solutions and servicing for alternative assets like OTC derivatives, private equity and real estate, SSGD’ tools…
Added 9 days ago
Customer Experience Lead - North West Arm, NS (37.5 Hours / Week) 13 Month Contract
Scotiabank
Halifax, NS
Lead and manage your team of Customer Experience Associates and Senior Customer Experience Associates
Added 9 days ago
RJ
VP, Controller
Raymond James
Vancouver, BC
- Full-time
The Vice President, Controller is a senior finance leader responsible for the integrity of the organization’s financial records, consolidated financial statements, regulatory reporting,…
Added 9 days ago
S
Senior Manager, Commercial Partnerships, Automotive Finance - 15 Month Contract
Scotiabank
Toronto, ON
- Contract
The Senior Relationship Manager (SRM) manages the portfolio of Commercial Captive Manufacturer accounts and as such is responsible for contributing to the profitable growth and quality of…
Added 9 days ago
Senior Manager, Commercial Partnerships, Automotive Finance - 15 Month Contract
Scotiabank
Toronto, ON
The Senior Relationship Manager (SRM) manages the portfolio of Commercial Captive Manufacturer accounts and as such is responsible for contributing to the profitable growth and quality of…
Added 9 days ago
Branch Manager
Odlum Brown
Vancouver, BC
The Branch Manager, Head Office supports advisory team members and works closely with the Vice President, Wealth Management; Head of Wealth Management Enablement; and Chief Compliance…
Added 9 days ago
Customer Experience Lead - Mount Forest
Scotiabank
Mount Forest, ON
Lead and manage your team of Customer Experience Associates and Senior Customer Experience Associates
Added 9 days ago
SS
Alternative Investments Financial Reporting Senior Manager, Officer
State Street
Toronto, ON
- Full-time
…fund administration and shareholder recordkeeping, to complete operations solutions and servicing for alternative assets like OTC derivatives, private equity and real estate, SSGS’ tools…
Added 11 days ago
S
Customer Experience Lead - Aspen Woods Branch, AB (37.5 hours/week) Contract- May, 2027
Scotiabank
Calgary, AB
- Contract
Lead and manage your team of Customer Experience Associates and Senior Customer Experience Associates

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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