Compliance Associate

3 weeks ago

Toronto, Ontario, Canada BMO Full time

Compliance Officer Role

BMO Capital Market Compliance is seeking a candidate for a Compliance Officer Role in its Control Room. This vacancy represents an exciting opportunity for someone eager to learn and enter the field of Compliance or for Control Room professionals wishing to expand the scope of their knowledge and experience in the North American securities regulatory environment.

The Compliance Officer, Control Room, is a fundamental contributor to the successful management of the Firm's Insider and Proprietary information. The incumbent will become part of a global team responsible for supporting both Canadian and US Investment Banking and Research teams.

Key Responsibilities

  • Monitoring and enforcing information barriers between public and private sides of the business
  • Assisting with development of policies, procedures, reporting, and surveillance to ensure effective practices to contain sensitive or material non-public information
  • Providing advisory services on compliance matters to LOB management and staff in support of BMO's Investment Banking and Research businesses
  • Executing appropriate testing and analyzing key performance indicators to ensure requirements of Capital Markets policies and programs are maintained at a level commensurate with regulatory expectations

Requirements

  • Bachelor's degree
  • 1-2 years of experience in Control Room or related field
  • Background in trading surveillance and/or email surveillance is an asset
  • Strong communication, critical thinking, relationship management, and project management skills

About BMO

BMO is a leading financial institution with a commitment to an inclusive, equitable and accessible workplace. We strive to help our employees make an impact from day one - for themselves 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.

What We Offer

  • A competitive salary and benefits package
  • Opportunities for professional growth and development
  • A dynamic and inclusive work environment

How to Apply

Please submit your application through our internal recruitment process. We thank all applicants for their interest; however, only those selected for an interview will be contacted.

  • Compliance Associate, Contract

    2 weeks ago

    Toronto, Ontario, Canada Toronto Hydro Corporation Full time

    Compliance Associate, Contract Compliance Associate, Contract The Compliance Associate, Contract, will play a critical role in ensuring the accuracy and reliability of our financial reporting. This position will work closely with the Manager of Compliance to identify and mitigate risks, and to support the external auditor during quarterly, interim, and...

  • Compliance Associate, Contract

    1 month ago

    Toronto, Ontario, Canada Toronto Hydro Corporation Full time

    The Compliance Associate, Contract, with guidance from the Manager of Compliance, will hold the primary responsibility for performing the fieldwork associated with the independent testing of Internal Controls over Financial Reporting (ICFR) and executing audit procedures to support the external auditor during quarterly, interim, and year-end financial...

  • Associate Director, Compliance

    2 weeks ago

    Toronto, Ontario, Canada RBC - Royal Bank Full time

    Job Title: Associate Director, Compliance Company: RBC Global Asset Management Location: Toronto or Vancouver About the Role: The Associate Director, Compliance is a key member of the RBC Compliance team, supporting the Compliance program of RBC Global Asset Management in Canada. This team provides expertise in regulatory requirements for various...

  • Compliance Associate, Contract Specialist

    2 days ago

    Toronto, Ontario, Canada TORONTO HYDRO Full time

    Job Title: Compliance Associate, ContractThe Compliance Associate, Contract, will play a critical role in ensuring the accuracy and reliability of Toronto Hydro's financial reporting. This position will be responsible for performing fieldwork associated with the independent testing of Internal Controls over Financial Reporting (ICFR) and executing audit...

  • Compliance Associate, Contract Specialist

    2 days ago

    Toronto, Ontario, Canada TORONTO HYDRO Full time

    Job Title: Compliance Associate, ContractThe Compliance Associate, Contract, will play a critical role in ensuring the accuracy and reliability of Toronto Hydro's financial reporting. This position will be responsible for performing fieldwork associated with the independent testing of Internal Controls over Financial Reporting (ICFR) and executing audit...

  • Compliance Associate Director

    2 weeks ago

    Toronto, Ontario, Canada MUFG Investor Services Full time

    Job SummaryWe are seeking a highly skilled Compliance Associate Director to join our team at MUFG Investor Services. As a key member of our compliance team, you will be responsible for ensuring that our business operations are conducted in full compliance with all relevant national and international laws and regulations.Key ResponsibilitiesCompliance...

  • Compliance Associate Director

    2 weeks ago

    Toronto, Ontario, Canada MUFG Investor Services Full time

    Job SummaryWe are seeking a highly skilled Compliance Associate Director to join our team at MUFG Investor Services. As a key member of our compliance team, you will be responsible for ensuring that our business operations are conducted in full compliance with all relevant national and international laws and regulations.Key ResponsibilitiesCompliance...

  • Associate Compliance Officer, Registrations

    2 weeks ago

    Toronto, Ontario, Canada BMO Full time

    Associate Compliance Officer Associate Compliance Officer BMO Financial Group is seeking a highly skilled and detail-oriented Associate Compliance Officer to join our team. As a key member of our Legal, Regulatory Compliance & Procurement (LRCP) Wealth Management Compliance team, you will play a critical role in facilitating the registration of BMO...

  • Associate Director, Compliance Oversight

    2 weeks ago

    Toronto, Ontario, Canada the Ladders Full time

    About The LaddersThe Ladders is an independent financial services company that prioritizes customer-centric innovation through technology-driven solutions. Led by entrepreneur Som Seif, the company is developing a diversified product platform to address historically underserved markets.Job DescriptionWe are seeking an experienced Associate Director,...

  • Associate Director, Compliance Oversight

    2 weeks ago

    Toronto, Ontario, Canada the Ladders Full time

    About The LaddersThe Ladders is an independent financial services company that prioritizes customer-centric innovation through technology-driven solutions. Led by entrepreneur Som Seif, the company is developing a diversified product platform to address historically underserved markets.Job DescriptionWe are seeking an experienced Associate Director,...

  • Compliance Associate Director

    1 week ago

    Old Toronto, Ontario, Canada Mufg Investorservices Full time

    Job DescriptionWe are seeking a highly skilled Compliance Associate Director to join our team at MUFG Investor Services. As a key member of our compliance team, you will play a critical role in ensuring that our business operations are conducted in full compliance with all relevant national and international laws and regulations.Key...

  • Compliance Associate Director

    1 week ago

    Old Toronto, Ontario, Canada Mufg Investorservices Full time

    Job DescriptionWe are seeking a highly skilled Compliance Associate Director to join our team at MUFG Investor Services. As a key member of our compliance team, you will play a critical role in ensuring that our business operations are conducted in full compliance with all relevant national and international laws and regulations.Key...

  • Compliance Associate Director

    2 weeks ago

    Old Toronto, Ontario, Canada Mufg Investorservices Full time

    Job DescriptionWe are seeking a highly skilled Compliance Associate Director to join our team at MUFG Investor Services. As a key member of our compliance team, you will play a critical role in ensuring that our business operations are conducted in full compliance with all relevant national and international laws and regulations.Key...

  • Compliance Associate Director

    2 weeks ago

    Old Toronto, Ontario, Canada Mufg Investorservices Full time

    Job DescriptionWe are seeking a highly skilled Compliance Associate Director to join our team at MUFG Investor Services. As a key member of our compliance team, you will play a critical role in ensuring that our business operations are conducted in full compliance with all relevant national and international laws and regulations.Key...

  • Compliance Associate Director

    2 weeks ago

    Old Toronto, Ontario, Canada MUFG Investor Services Full time

    About the RoleMUFG Investor Services is seeking a highly skilled Compliance Associate Director to join our team. As a key member of our compliance team, you will be responsible for ensuring that our business operations are conducted in full compliance with all relevant national and international laws and regulations.Key ResponsibilitiesConduct thorough...

  • Compliance Associate Director

    2 weeks ago

    Old Toronto, Ontario, Canada MUFG Investor Services Full time

    About the RoleMUFG Investor Services is seeking a highly skilled Compliance Associate Director to join our team. As a key member of our compliance team, you will be responsible for ensuring that our business operations are conducted in full compliance with all relevant national and international laws and regulations.Key ResponsibilitiesConduct thorough...

  • Associate, Compliance Monitoring – Public Markets Compliance

    2 weeks ago

    Toronto, Ontario, Canada CPP Investments Full time

    Job DescriptionReporting to the Manager, Compliance Monitoring – Public Markets Compliance, the Associate will play a pivotal role in supporting investment activity by CPP Investments and its portfolio companies through the identification of potential sources of perceived conflicts of interest and the management of restricted lists and information barriers...

  • Associate, Compliance Monitoring – Public Markets Compliance

    2 weeks ago

    Toronto, Ontario, Canada CPP Investments Full time

    Job DescriptionReporting to the Manager, Compliance Monitoring – Public Markets Compliance, the Associate will play a pivotal role in supporting investment activity by CPP Investments and its portfolio companies through the identification of potential sources of perceived conflicts of interest and the management of restricted lists and information barriers...

  • Associate Director, Compliance Specialist

    1 week ago

    Old Toronto, Ontario, Canada Royal Bank of Canada Full time

    Job Summary Job Description What is the Opportunity? The Royal Bank of Canada is seeking a highly skilled Associate Director, Compliance to join its Compliance team. This individual will play a critical role in supporting the Compliance program of RBC Global Asset Management in Canada. As a key member of the Compliance team, the Associate Director,...

  • Associate Director, Compliance Specialist

    1 week ago

    Old Toronto, Ontario, Canada Royal Bank of Canada Full time

    Job Summary Job Description What is the Opportunity? The Royal Bank of Canada is seeking a highly skilled Associate Director, Compliance to join its Compliance team. This individual will play a critical role in supporting the Compliance program of RBC Global Asset Management in Canada. As a key member of the Compliance team, the Associate Director,...