Compliance Officer, LRCP

Application Deadline:

03/17/2025

Address:
100 King Street West

Job Family Group:

Audit, Risk & Compliance

The successful candidate will work with the Capital Markets Compliance team in administering both the employee trading and outside activities programs for BMO Financial Group.

The employee will:

• review trades and processing any violations.
• review for outside activity requests.
• onboard employees into the employee trading program.
• main contact for both the employee trading program and the personal conflicts of interest operating directives.
• assist in the ongoing implementation and maintenance of both global compliance programs by working with the businesses we support.
• build effective professional relationships with those we support.
• work alongside our first line of defence partners.
• work with the line of businesses and internal partners that we support to ensure regulatory, corporate and fiduciary obligations are met.
• identify risks and implement appropriate actions to mitigate them.
• be able to distill large amounts of data to key stakeholders for analysis and reporting purposes.
• identify, assess, effectively challenge and oversee the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation.
• evaluate and escalate high profile issues to the Director of the group and management, when needed.
• represent the team and interact with internal or external regulator audits and examinations.
• identify and analyze risk and consequences of unaddressed compliance gaps and recommends appropriate controls.
• operate effectively within a high stress environment with constantly changing expectations and regulatory & audit scrutiny.
• access, monitor and report on sensitive Bank, customer, transactional and employee information to ensure compliance with regulatory requirements.
• exercise judgment to identify, diagnose and solve problems within given rules.
• coordinate and perform monitoring and surveillance activities to ensure programs remains current and aligned with the BMO Enterprise Compliance Program.
• work independently on a range of complex tasks, which may include unique situations.
• Broader work or accountabilities may be assigned as needed.

Qualifications:

• Strong trading knowledge needed with the Canadian Securities Course & Conducts and Practices Handbook a must.
• Working knowledge of RIS and ADP.
• Hybrid working environment with a minimum of three days per week in the office.
• 1 - 3 years of relevant experience.
• Strong knowledge of business operations & procedures and activities involving documented practices.
• Proficient in communication, critical thinking, relationship management and project management skills.
• Post-secondary degree or an equivalent combination of education and experience.
• Strong verbal & written communication skills are needed.
• Collaboration & team skills are needed.
• Analytical and problem-solving skills are needed.

Salary :

$60,000.00 - $111,700.00

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.