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Compliance Officer

2 months ago

Toronto, Ontario, Canada BMO Full time
About the Role

We are seeking a highly skilled Compliance Officer to join our Registrations team at BMO. As a key member of our team, you will be responsible for providing advisory services and acting as a point of escalation for registration-related issues and inquiries across all registered Canadian legal entities.

Key Responsibilities
  • Provide high-quality service in all internal and/or external interactions
  • Provide advice and guidance to Branches, Lines of Business, HR, Learning and Corporate Secretaries Offices on related registration matters
  • Perform functions required to register accredited salespersons, advisers, and officers of the various entities using the National Registration Database (NRD)
  • Monitor applications for potential terms and conditions relating to Civil, Criminal, and/or Financial matters and escalate to management
  • Prepare submissions to register salespersons, supervisors, and officers of the various lines of business
  • Prepare submissions to report material changes to regulators for existing registrants
  • Prepare termination submissions for registered persons, including liaising with the business unit, Compliance partners, and HR
  • Prepare submissions relating to opening, closing, and changes to registered locations
  • Determine and advise on post-licensing and continuing education requirements and report to regulators as required
  • Maintain various electronic records, such as NRD, internal databases, registrant files, Excel spreadsheets, and other systems as necessary
  • Interact with regulators on registration files on a regular basis
  • Understand and keep current with regulatory, Bank, and department policies and procedures, with a firm understanding of regulatory deadlines
  • Ensure operational integrity and privacy measures are maintained and safeguarded with the LOB and compliance department
  • Participate in special projects as needed
Requirements
  • Bilingual in English and French is an asset
  • Successful completion of industry courses (for example, the Canadian Securities Course) is an asset
  • Two to three years of experience in the financial or securities industry, preferably within Registrations or a Compliance division
  • Broad knowledge of CIRO (formerly IIROC/MFDA), CSA (National Instruments), and US (state and federal) rules, policies, and procedures
  • Broad knowledge of Mutual Fund Dealer, Institutional, Retail, and Discount Brokerage businesses
  • University degree or post-secondary diploma
  • Ability to identify and analyze risks and propose steps to mitigate risks
  • Ability to work in a high-stress, fast-paced, and changing environment
  • Must be able to work independently
  • Analytical skills and good judgment are extremely important
  • Must possess excellent negotiation and listening skills
  • Must be independent and confident enough to defend their views in an open forum
  • Excellent interpersonal skills and strong written and verbal business communication skills
  • Able to recognize and handle sensitive and confidential information
  • Capable of handling multiple tasks and meeting stringent deadlines
About BMO

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.