Senior Compliance Officer - Regulatory & Advisory

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Senior Compliance Officer - Regulatory & Advisory

senior · Risk & Compliance

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BMO Nesbitt Burns, Private Client Division is a core part of PMO Private Wealth, and it operates as one of North America’s leading full-service investment advisory firms. 
 

We are seeking a Senior Compliance Officer – Regulatory & Advisory with a strong understanding of the regulatory landscape and knowledge of CIRO rules, to join our Compliance team.  This role has dual reporting lines and reports to the Chief Compliance Officer, BMO Nesbitt Burns, Private Client Division, and BMO Private Wealth Canada, with a dual reporting line into the Senior Compliance Manager, Regulatory & Advisory.

As a key member of the Compliance team, you will focus on regulatory developments, change management, and reporting. Excellent written and oral communication skills, strong knowledge of CIRO rules, and project management experience are required.

Responsibilities And Duties

This role requires you to:
 

• Have a strong understanding of Private Wealth, and of applicable CIRO rules and the broader securities regulatory landscape.
• Assist lead regulatory change initiatives and coordinate various stakeholders to ensure compliance with new regulatory developments, and to support regulatory initiatives and compliance program changes, and ensure alignment with CIRO and other rules, including leading change management processes
• Contribute to regulatory reporting of regulatory developments, regulatory initiatives and compliance program changes
• Deploy appropriate methodologies and governance tools, to drive the timely delivery of analysis and agreed solution approach for any regulatory or compliance program initiative
• Support the CCO on assigned tasks as required
   

Qualifications And Skills

Core Requirements
 

• Experienced compliance professional with 5+ years of experience in compliance with relevant experience in managing regulatory developments, change management, and reporting, and a post-secondary degree in a related field of study or an equivalent combination of education and experience
• CSC, Investment Dealer Supervisors Course or similar qualifications
• Deep understanding of securities laws and rules, and in particular of CIRO Rules

• Strong analytical and critical thinking skills to assess information, evaluate risks, and make informed judgments. Can approach problems from multiple perspectives and demonstrate sound reasoning.
• Excellent oral and written communication skills; including the ability to understand and effectively communicate relevant industry regulations, impacts and implementation solutions to the business
• A high level of professionalism, ethics and integrity
• Ability to work in a changing environment, managing multiple priorities and strategies
   

Nice to Have’s
 

• Project management certifications or equivalent experience
• Prior experience as an Approved Person or working at a securities regulator

Salary:

Pay Type:

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.