Equity Research Supervisory Analyst

BMO Capital Markets is a leading, full-service North American-domiciled financial services provider offering equity and debt underwriting, corporate lending and project financing, merger and acquisitions advisory services, securitization, treasury management, market risk management, debt and equity research, and institutional sales and trading. BMO Capital Markets has approximately 2,700 professionals in 33 locations around the world. The Equity Research department covers over 950 stocks across diverse sectors, and provides equity strategy, quantitative analysis and portfolio management services to our clients.

Description

The Supervisory Analyst provides regulatory oversight and governance support for Equity Research publications and communications. The role is accountable for reviewing and approving research communications and reports to ensure compliance with applicable regulatory requirements and firm policies and procedures.

Working in partnership with Research Analysts, Heads of Research, Compliance Control Rooms, Production and other internal stakeholders, the Supervisory Analyst facilitates the timely review and dissemination of research products, provides regulatory guidance, resolves publication-related issues and supports strategic and operational initiatives. The successful candidate will bring extensive equity research experience, sound professional judgment and a strong commitment to regulatory excellence.

Key Responsibilities

Research Supervision and Regulatory Oversight - Weighting: 100%

- Reviews and approves research reports, publications, and other research-related communications to ensure compliance with applicable securities regulations and firm policies across all relevant jurisdictions.
- Provides oversight, guidance, and interpretation regarding research publication standards, regulatory requirements, conflicts management, disclosure obligations, and supervisory controls.
- Partners with Research Analysts, Research Management, Compliance, Control Room, Production, Legal, and other internal stakeholders to support the timely and effective review and publication of research products.
- Identifies, assesses, escalates, and helps resolve regulatory, compliance, publication, reputational, and workflow-related issues in a timely and effective manner.
- Oversees adherence to established firm policies, procedures,



supervisory controls, and governance frameworks applicable to the research function.
- Maintains close working relationships with Compliance and Control Room teams to ensure research publications are reviewed and disseminated in accordance with regulatory and firm requirements.
- Supports analyst onboarding, coverage launches, sector transfers, thematic initiatives, special reports, and other strategic research projects.
- Reviews analyst certifications, disclosures, conflicts, and other required documentation to ensure accuracy and regulatory compliance.
- Develops and maintains deep knowledge of applicable regulations, emerging industry developments, business practices, and internal governance requirements.
- Exercises sound judgment in balancing regulatory requirements, business objectives, publication timelines, and operational considerations within established supervisory frameworks.
- Works independently in a fast-paced environment, managing multiple priorities and addressing complex or non-routine situations with minimal supervision.
- Collaborates with internal stakeholders to identify opportunities for process improvements and enhance the effectiveness, consistency, and efficiency of supervisory practices.
- Contributes to the ongoing development, documentation, and enhancement of research supervisory policies, procedures, and controls.
- Performs other duties and responsibilities as assigned.

Experience & Skills

The successful candidate will demonstrate:

- Typically 8-10 years of relevant industry experience and a post-secondary degree in finance, accounting, economics, law, business, or a related discipline, or an equivalent combination of education and experience.
- Prior experience as an Equity Research Analyst, Supervisory Analyst, Research Principal, Compliance Officer, or other research governance role is considered an asset.
- FINRA Series 16 license is required; additional research, supervisory,



or securities industry registrations are advantageous.
- In-depth knowledge of regulations governing investment research, analyst independence, conflicts management, disclosures, and research publication requirements.
- Strong understanding of equity research products, workflows, publication processes, and supervisory control frameworks; experience within BlueMatrix an asset.
- Experience interpreting and applying regulatory requirements to complex, time-sensitive, or novel situations while balancing business and compliance considerations.
- Demonstrated ability to identify regulatory risks, exercise sound judgment, and make defensible supervisory decisions.
- Exceptional strength in communication, collaboration, stakeholder management, influencing outcomes, critical thinking, and problem-solving, with the ability to effectively partner with senior professionals across Research, Compliance, Legal, and Operations.
- Ability to manage multiple priorities simultaneously and deliver high-quality work in a fast-paced, deadline-driven environment.
- Flexible scheduling and/or rotational shifts, primarily aligned to overnight North American PST and Australian AWT business hours.
- Solid understanding of global regulatory frameworks and the ability to apply regulatory requirements across multiple jurisdictions.
- Data-driven decision-making capabilities and a continuous improvement mindset.
- Demonstrated commitment to research excellence, integrity, professionalism, regulatory, and risk management practices.

Education & Credentials

- Bachelor's degree required.
- FINRA Series 16 license required; experience within the following jurisdictions an asset: Australia, EU, UK, Canada.

Open to on site or hybrid workers based in Perth.

We thank all applicants for their interest; however, only those selected for an interview will be contacted.

As an equal opportunities employer, BMO is committed to the equal treatment of all current and prospective employees and does not condone discrimination on the basis of age, disability, sex, sexual orientation, pregnancy and maternity, race or ethnicity, religion or belief, gender identity, or marriage and civil partnership.

We aspire to have a diverse and inclusive workplace and strongly encourage suitably qualified applicants from a wide range of backgrounds to apply.

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📌 Equity Research Supervisory Analyst (Western Australia)
🏢 BMO
📍 Western Australia