Current jobs related to Manager, Business Compliance, Wealth Management - Toronto, Ontario - BMO

  • Salesforce Developer

    4 weeks ago

    Toronto, Ontario, Canada IG Wealth Management Full time

    About IG Wealth Management IG Wealth Management is a leading Canadian wealth management firm dedicated to helping individuals and families achieve their financial goals. We offer a comprehensive suite of investment, insurance, and retirement planning solutions. Job Description We are seeking a talented and experienced Salesforce Developer to join our...

  • Compliance Director

    3 weeks ago

    Toronto, Ontario, Canada Aviso Wealth Full time

    About the RoleAviso Wealth is seeking a highly skilled and experienced Compliance Director to join our Asset Management team. As a key member of our leadership team, you will be responsible for overseeing compliance within NEI, an Investment Fund Manager, Portfolio manager, and Exempt Market Dealer, regulated with the OSC and CSA.Key ResponsibilitiesDevelop...

  • Compliance Director

    4 weeks ago

    Toronto, Ontario, Canada Aviso Wealth Full time

    About the RoleAviso Wealth is seeking a highly skilled and experienced Compliance Director to join our Asset Management team. As a key member of our leadership team, you will be responsible for overseeing compliance within NEI, an Investment Fund Manager, Portfolio manager, and Exempt Market Dealer, regulated with the OSC and CSA.Key ResponsibilitiesDevelop...

  • Program Manager

    3 weeks ago

    Toronto, Ontario, Canada Aviso Wealth Full time

    About the RoleAviso Wealth is seeking a highly skilled Program Manager to join our team. As a Program Manager, you will be responsible for leading multiple projects within the program portfolio, ensuring alignment with organizational goals and strategic objectives.Key ResponsibilitiesDevelop comprehensive project plans and progress reports, including scope,...

  • Program Manager

    3 weeks ago

    Toronto, Ontario, Canada Aviso Wealth Full time

    About the RoleAviso Wealth is seeking a highly skilled Program Manager to join our team. As a Program Manager, you will be responsible for leading multiple projects within the program portfolio, ensuring alignment with organizational goals and strategic objectives.Key ResponsibilitiesDevelop comprehensive project plans and progress reports, including scope,...

  • Manager, Business Compliance Oversight

    1 month ago

    Toronto, Ontario, Canada TD Full time

    Job Title: Manager, Business Compliance OversightTD is seeking a highly skilled and experienced Manager, Business Compliance Oversight to join our team. As a key member of our Compliance team, you will be responsible for ensuring that our Wealth Canada businesses are in compliance with regulatory requirements and expectations.Key Responsibilities:Manage and...

  • Manager, Business Compliance Oversight

    1 month ago

    Toronto, Ontario, Canada TD Full time

    Job Title: Manager, Business Compliance OversightTD is seeking a highly skilled and experienced Manager, Business Compliance Oversight to join our team. As a key member of our Compliance team, you will be responsible for ensuring that our Wealth Canada businesses are in compliance with regulatory requirements and expectations.Key Responsibilities:Manage and...

  • Chief Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada Aviso Wealth Full time $135,000 - $158,000

    Director, Chief Compliance OfficerAviso Wealth is seeking a seasoned professional to lead our compliance efforts as Director, Chief Compliance Officer. This key role will oversee compliance within our organization, ensuring adherence to regulatory requirements and internal policies.Key Responsibilities:Develop and implement comprehensive compliance programs...

  • Chief Compliance Officer

    4 weeks ago

    Toronto, Ontario, Canada Aviso Wealth Full time $135,000 - $158,000

    Director, Chief Compliance OfficerAviso Wealth is seeking a seasoned professional to lead our compliance efforts as Director, Chief Compliance Officer. This key role will oversee compliance within our organization, ensuring adherence to regulatory requirements and internal policies.Key Responsibilities:Develop and implement comprehensive compliance programs...

  • Manager, Business Compliance Oversight

    1 month ago

    Toronto, Ontario, Canada TD Full time

    Job Title: Manager, Business Compliance OversightTD is seeking a highly skilled and experienced Manager, Business Compliance Oversight to join our team. As a key member of our Compliance team, you will be responsible for ensuring that our business operations are in compliance with regulatory requirements and industry standards.Key Responsibilities:Manage and...

  • Manager, Business Compliance Oversight

    1 month ago

    Toronto, Ontario, Canada TD Full time

    Job Title: Manager, Business Compliance OversightTD is seeking a highly skilled and experienced Manager, Business Compliance Oversight to join our team. As a key member of our Compliance team, you will be responsible for ensuring that our business operations are in compliance with regulatory requirements and industry standards.Key Responsibilities:Manage and...

  • Manager, Business Compliance Oversight

    1 month ago

    Toronto, Ontario, Canada TD Full time

    Job Title: Manager, Business Compliance OversightAt TD, we're committed to enriching the lives of our clients, communities, and colleagues. We're seeking a highly skilled Manager, Business Compliance Oversight to join our team and help us achieve our vision of being a better bank.About the Role:The Manager, Business Compliance Oversight will be responsible...

  • Manager, Business Compliance Oversight

    1 month ago

    Toronto, Ontario, Canada TD Full time

    Job Title: Manager, Business Compliance OversightAt TD, we're committed to enriching the lives of our clients, communities, and colleagues. We're seeking a highly skilled Manager, Business Compliance Oversight to join our team and help us achieve our vision of being a better bank.About the Role:The Manager, Business Compliance Oversight will be responsible...

  • Compliance Director

    1 week ago

    Toronto, Ontario, Canada Aviso Wealth Full time

    Aviso Wealth is a leading wealth management and investment services provider for the Canadian financial industry. We're seeking a highly skilled Director, Chief Compliance Officer, NEI to join our Asset Management team.The ideal candidate will have a strong background in compliance and risk management, with a proven track record of ensuring regulatory...

  • Senior Manager, Managed Solutions Expert

    1 month ago

    Toronto, Ontario, Canada IG Wealth Management Full time

    Job SummaryThe Senior Manager, Managed Solutions is a key leadership role at IG Wealth Management, responsible for driving business operations and strategic initiatives. This position requires a strong leader with expertise in business knowledge, policies, and processes, as well as excellent communication and relationship-building skills.Key...

  • Director, Chief Compliance Officer

    3 weeks ago

    Old Toronto, Ontario, Canada Aviso Wealth Inc Full time

    Job Title: Director, Chief Compliance OfficerAviso Wealth Inc is seeking a highly skilled and experienced Director, Chief Compliance Officer to join our Asset Management team. As a key member of our leadership team, you will be responsible for overseeing compliance within our organization, ensuring that we maintain the highest standards of regulatory...

  • Director, Chief Compliance Officer

    3 weeks ago

    Old Toronto, Ontario, Canada Aviso Wealth Inc Full time

    Job Title: Director, Chief Compliance OfficerAviso Wealth Inc is seeking a highly skilled and experienced Director, Chief Compliance Officer to join our Asset Management team. As a key member of our leadership team, you will be responsible for overseeing compliance within our organization, ensuring that we maintain the highest standards of regulatory...

  • Compliance Officer, Wealth Management

    2 months ago

    Toronto, Ontario, Canada CWB Financial Group Full time

    About the RoleWe are seeking a highly skilled Compliance Officer to join our team at CWB Financial Group. As a key member of our Wealth Compliance team, you will play a critical role in ensuring our organization meets regulatory requirements and maintains a strong compliance program.Key ResponsibilitiesSupport the AVP, Wealth Compliance in managing risks and...

  • Compliance Officer, Wealth Management

    2 months ago

    Toronto, Ontario, Canada CWB Financial Group Full time

    About the RoleWe are seeking a highly skilled Compliance Officer to join our team at CWB Financial Group. As a key member of our Wealth Compliance team, you will play a critical role in ensuring our organization meets regulatory requirements and maintains a strong compliance program.Key ResponsibilitiesSupport the AVP, Wealth Compliance in managing risks and...

  • Compliance Business Oversight Manager

    1 month ago

    Toronto, Ontario, Canada The Toronto-Dominion Bank (Canada) Full time

    Job Title: Manager, Compliance Business OversightJob Summary:The Toronto-Dominion Bank (Canada) is seeking a highly skilled Manager, Compliance Business Oversight to join our team. As a key member of our Compliance Department, you will be responsible for supporting the development, implementation, and maintenance of compliance programs and initiatives across...

Manager, Business Compliance, Wealth Management

2 months ago

Toronto, Ontario, Canada BMO Full time

Job Title: Compliance Specialist

BMO Financial Group is seeking a highly skilled Compliance Specialist to join our team. As a Compliance Specialist, you will play a critical role in ensuring that our business practices are in compliance with regulatory requirements and industry standards.

Key Responsibilities:

  • Provide regulatory compliance advice and direction to the Wealth businesses supported.
  • Interpret regulations and provide advice on the application of regulatory requirements to business processes and controls.
  • Lead and support the implementation and execution of the Enterprise Compliance Program (ECP).
  • Manage and support large/complex compliance programs/frameworks/projects/initiatives to ensure compliance risks are appropriately identified, risk assessed, mitigated and regulations adhered to.
  • Develop and maintain an understanding of the business/group strategies and objectives, products and services, internal and external stakeholders, and business processes as well as the underlying technology infrastructure to identify and manage compliance risk exposures for the business/group.
  • Participate in discussions with relevant stakeholders to review, edit and approve changes to policies, processes, procedures, controls, and technology needs to ensure they comply with regulatory developments/requirements.
  • Build change management plans of varying scope and type; lead or participate in a variety of change management activities including regulatory readiness assessments, planning, stakeholder management, execution, evaluation, and sustainment of initiatives.
  • Complete supplier compliance risk assessments.

Relationship Management:

  • Collaborate and maintain positive relationships with individuals across the business.
  • Work with business leaders, 2nd Line Compliance, Legal, and other stakeholders to implement and maintain 1st Line compliance programs.

Regulatory Compliance Issue Management:

  • Identify, investigate, analyze, document, and establish plans to mitigate program risks, considering jurisdictional/provincial requirements, issues, and raises any issues or concerns to senior leaders and other stakeholders.
  • Support the business on regulatory compliance issues, including identifying root causes, developing and assessing action plans, monitoring remediation, and reporting to senior management.

Regulatory Compliance Risk Assessment (RCRA):

  • Accountable for leading the annual and trigger-based Regulatory Compliance Risk Assessment (RCRA) which encompasses the principles, accountabilities, expected outcomes, processes and procedures for the identification and assessment of Regulatory Risk across the Enterprise.
  • Document rationales to support risk assessments and discuss/respond/address questions/challenge raised by 2nd Line oversight functions.

Compliance Policy and Procedure Support:

  • Provide compliance feedback on policies owned by the business.
  • Develop, document, maintain and update business/group policies updating and obtaining approvals as regulations or the operating environment changes and communicates changes to the business/group & relevant stakeholder groups.

Regulatory Development:

  • Make recommendations and provide solutions and enhancements to existing practices to keep pace with regulatory changes and provide requisite support in the implementation of regulatory change initiatives.
  • Understand, assess, and monitor industry and regulatory/legislative developments and continuously updates compliance programs to ensure they continue to be effective.

Compliance Training:

  • Provides support to the development and delivery of compliance training and awareness programs within the business/group to increase awareness of and compliance to risk management requirements.
  • Provides training to ensure business unit employees fully understand regulatory requirements and associated controls.

Compliance Review Support:

  • Provides support for compliance-related information requests associated with investigations, reviews, or examinations conducted by internal and external stakeholders.
  • Meet with reviewers to execute walkthroughs of key processes/controls and answer questions.

Business Specific Support:

  • Meet with EIASI clients to explain/describe the regulatory compliance framework supporting the business.
  • Provide compliance training to advisors on an annual basis.
  • Maintain/update compliance-related policies and procedures.
  • Work with the business and other support functions to complete annual client attestations.

Qualifications:

  • Typically, between 5 - 7 years of relevant experience (i.e., Trust, Insurance Business Banking) and post-secondary degree in related field of study or an equivalent combination of education and experience.
  • Specific education/designation/experience that would be an asset:
    • Trust & Estate Practitioner (TEP) designation
    • Income Tax Act knowledge
    • Legal - Trust, Insurance, Banking
    • Insurance Business experience

General Knowledge/skills:

  • Expert verbal and written communication skills
  • Expert presentation skills
  • Consulting, analytical, and technical support skills.
  • Builds effective relationships with internal/external senior stakeholders.
  • Breaks down strategic problems, and analyses data and information to provide insights and compliance-related recommendations.
  • Exercises judgment to identify, diagnose, and solve problems within given rules.
  • Ability to demonstrate effective use of judgment, interpretation, knowledge, and skill in the application of regulations and compliance requirements.

About BMO Financial Group:

BMO Financial Group is a leading financial institution with a long history of innovation and customer service. We are committed to an inclusive, equitable and accessible workplace, where our employees can grow and thrive. We offer a comprehensive benefits package, competitive compensation, and opportunities for professional development and advancement.