Supervisory Analyst, Vice President

📋 Description

• • Reviews and approves research communications and reports to ensure compliance with regulatory rules and firm policies and procedures.
• • Recommends and implements solutions based on analysis of issues and their implications for the business.
• • Assists in the development of strategic plans for research and compliance functions.
• • Researches existing and emerging regulatory requirements and industry best practices to inform recommendations for policy enhancements.
• • Designs and produces regular and ad-hoc reports and dashboards to support governance and decision-making.
• • Leads process improvements and special projects, designing effective and sustainable operational solutions.
• • Works closely with research analysts, compliance teams, and production teams to ensure timely and compliant review of research outputs.
• • Builds close working relationships with senior research analysts to support coverage launches and large thematic report development.
• • Makes recommendations to optimize workflow management across research and compliance functions.
• • Communicates and resolves operational issues between research analysts, compliance, and production teams.
• • Enforces existing firm policies and procedures related to research communications and reporting.
• • Maintains a close working relationship with the Control Room to ensure all research products adhere to regulatory and internal guidelines.
• • Develops and maintains in-depth knowledge of applicable business and regulatory requirements.
• • Builds effective relationships with internal and external stakeholders to ensure alignment across functions.
• • Supports the development and execution of strategic initiatives in collaboration with cross-functional teams.
• • Supports change management efforts, focusing on execution and sustainment of new processes.
• • Breaks down complex strategic problems, analyzes data and information, and provides governance insights and actionable recommendations.
• • Focuses primarily on the business/group within BMO, with potential for enterprise-wide scope.
• • Provides specialized consulting, analytical, and technical support to research and compliance teams.
• • Exercises independent judgment to identify, diagnose, and solve problems within established rules and frameworks.
• • Works independently and regularly handles non-routine and complex situations.
• • Applies BMO’s Risk Management Framework and Risk Culture to make risk-informed decisions that protect assets and align with business strategy.
• • Adheres to all applicable policy documents, laws, and regulations in the execution of responsibilities.
• • May be assigned broader work or accountabilities as needed to support evolving business priorities.