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Head, Enterprise Compliance Program

3 months ago

Toronto, Ontario, Canada BMO Full time

Application Deadline:

06/16/2024

Address:

100 King Street West

Job Family Group:

Audit, Risk & Compliance

Leads and directs the enterprise compliance functions and practices, and supports the identification, assessment, and management of regulatory risk within non-revenue producing areas (Corporate Areas) of the Bank ensuring alignment with the Bank-wide risk management policies and standards. This position has an enterprise mandate for BMO Financial Group across all jurisdictions and legal entities that BMO operates. Leads a global team responsible for execution of enterprise, data analytics, training, and design of the framework for the Enterprise Compliance Program (ECP). The enterprise framework includes authoring guidance and standards for regulatory compliance risk assessment, compliance monitoring and testing, compliance issues management, and governance for training such as Compliance Education and Ethics, Legal & Compliance Training which impacts all BMO employees. Leads the Compliance quarterly reporting process to BMO's Audit and Conduct Review Committee of the Board of Directors as well as the consistent application of enterprise Compliance strategy and operations across Compliance teams. Provides day-to-day leadership for the Bank's compliance book of record, Compliance Oversight and Reporting Engine, which captures the enterprise regulatory library and records the first- and second-line compliance activities.

Provides Second Line oversight, including Effective Challenge and adherence to the Enterprise Compliance Program Manual for First Line Corporate Area regulatory requirements (e.g., insider trading requirements), Corporate Areas Compliance. Ensures Corporate Compliance obtains information on the state of compliance with regulatory requirements second line Corporate Areas oversee and has an effective process in place to confirm the reliability of that information For second line Corporate Areas for a regulatory requirement, provides expert guidance on establishing and enhancing a compliance program. Within the mandate of this role and BMO's three lines model, ensures compliance risk management framework and functions enable business decisions and activities fall within the risk appetite of the Bank, and that internal controls are in place and functioning effectively to support management decision-making that protects our assets and adheres to applicable corporate policies, operating directives, laws, and regulations. Ensures first and second lines of defense compliance risk activities are aligned to the compliance risk appetite. Develops strategies for the RCM programs promoting a pro-active regulatory compliance culture which mitigates risk and maximizes shareholder value. Develops compliance measures and metrics to assess effectiveness of regulatory compliance policies, procedures, and programs. Ensures the RCM programs are adequate relative to the level and complexity of risk. Working with Corporate Areas and Legal Groups keeps apprised of regulatory developments relevant to Corporate Areas globally and leads the compliance team in understanding the impact of those developments on regulatory compliance. Maintains current, high-level knowledge of applicable regulatory standards and requirements in jurisdictions where the organization operates – particularly as it relates to compliance risk management programs. Maintains close working relationships with regulatory subject matter experts in jurisdictions where the organization operates. Monitors developments and trends that may impact regulatory requirements. Advises and consults with first line and other second line Compliance teams on practices related to RCM programs Maintains collaborative working relationship with other second line BMO risk management partners to ensure the compliance program is appropriately integrated into the organization's overall risk management program. Participates in relevant leadership working groups and committees as appropriate (e.g., Regulatory Development Committee). Ensures regulatory compliance risk assessment, compliance issues management, monitoring and testing, corporate areas policies and related quality control policies and procedures remain fit for purpose on an enterprise-wide basis. Leads governance and oversight of Ethics, Legal & Compliance Training and U.S. Compliance Education. Serves as a key contact for regulators on behalf of the BMO compliance team including U.S. operations. Fosters and maintains strong and trusted relationships with key regulators in multiple jurisdictions, such as OSFI, OCC, FRB, CFPB, FINRA, SEC, etc. Develops and maintains strong relationships with executives and senior management of LOBs across enterprise operations. Collaborates with senior management to promote understanding of LOB-specific risks, regulatory requirements and their impact upon operations. Serves on the leadership teams for the Enterprise and U.S. Chief Compliance Officers and participate on Bank-wide committees to provide the compliance perspective to senior management. Serves as a point of escalation to ensure incidents have sufficient resources to provide resolution in a timely manner. Acts as an advisor, where appropriate, on the development and design of policies, procedures, and programs to effectively identify regulatory risk, monitor for compliance with relevant regulation and mitigate regulatory risk and related losses. Develops and maintains strong relationships with executives and senior management to ensure timely information exchange and establish regulatory compliance leadership. Alerts regulators to incidents as appropriate. Supports the Enterprise and U.S. Chief Compliance Officers by identifying and escalating appropriate issues, supporting regulatory conversations and recommendations and providing expertise as required about compliance programs. Oversees the development of regular updates for the Enterprise and U.S. Chief Compliance Officers on the status of compliance risk management programs and provide analysis and assistance in the development of any solutions required to support effective management. Provides input for key governance decisions for the overall enterprise and specific to U.S. compliance risk management program as required. Within the mandate of this role, promotes and supports the Bank's risk culture including ensuring employees understand their accountabilities for risk-taking activities, promoting an environment of open communication and effective challenge, and establishing the "tone from the top" through leading by example. Complies with the Bank's Risk Appetite framework and ensures risk-taking activities remain within agreed limits and comply with all regulatory requirements. Role models driving simplicity and productivity enhancements for optimization across groups driving continuous improvement on key measures Activates our winning culture, aligned with Purpose. Ignites engagement by aligning our culture to our strategy and fueling exceptional execution Fosters diversity, equity and inclusion and creates an inclusive environment for all employees by eliminating barriers to inclusion Develops leaders, plans for succession, and fosters a high-performance culture Drives top talent acquisition and retention, developing organizational capabilities to drive competitive advantage Leads and mentors a team of senior executives with diverse risk and business experience, skills, and orientation Leads, promotes, and reinforces the Bank's customer focus to support our vision Personally, role models customer focus Drives sustainable improvements in customer loyalty and business growth Adheres and supports enterprise customer experience and brand standards

Qualifications:

Solid academic or professional qualifications, ideally with at least one of the following: LL.B, MBA, CFA or business degree, and/or significant relevant experience, ideally at least 10 years with a proven track record of leading a successful compliance program and team in a financial institution. Graduate level degree in risk, legal or finance or related field of study preferred 10+ years relevant work experience in Risk/Compliance in financial services industry, including at least 8 years of experience leading projects or managing teams, and interacting with regulators. Relevant work should include experience with financial institutions operating in the global market as well as those that have specific U.S. operations and regulatory expectations. An understanding of the governing regulatory and industry standards globally that impact Regulatory Compliance Management Programs (including for non-revenue generating areas). Keen analytical skills and ability to proactively identify regulatory risk, tempered by practicality and common sense, with the ability to integrate quantitative and qualitative assessments to reach well-considered decisions. Good judgment. Ability to foster and maintain strong positive relationships with senior management, key regulators globally and industry contacts to ensure up-to-date knowledge of product, regulatory, technological and other developments. Demonstrated expertise in effectively communicating the roles and importance of each of the three lines of defense, as well as proactively identifying regulatory risk Effective leadership capabilities, including expert communication, change management, sound judgement, relationship management, and negotiation skills. Build, motivate and lead a professional team attuned to enterprise culture and committed to contributing to ability of the business to meet its objectives. Ability to manage strategic long-term plans with day-to-day exigencies, including making nimble strategic adjustments as risks change. Deal with highly confidential and sensitive information appropriately.

Please note the target base salary range for this specific position is noted as a range from $200,000 CAD to $220,000 CAD.

Compensation and Benefits:

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:

We're here to help

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 .

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.