Regulatory Compliance Specialist

1 week ago

Toronto, Ontario, Canada BMO Full time
Job Summary

BMO is seeking a highly skilled Compliance Officer to join its Control Room team. As a key member of the team, you will play a critical role in ensuring the effective management of the Firm's Insider and Proprietary information.

Key Responsibilities
  • Compliance Program Execution and Monitoring (75%)
    • Coordinate coverage over multiple jurisdictions with respect to grey/restricted list and research.
    • Review research prior to publication, ensuring compliance with research restrictions in accordance with the Firm's policies and procedures and verification of compliance with Wall Crossing procedures.
    • Maintain grey and restricted lists.
    • Liaise with other Global Compliance teams to monitor research communication activities pursuant to certain legal, regulatory and/or policy considerations.
    • Coverage for conflict clearances.
    • Execution of Monitoring and Testing for both Investment Banking and Research businesses.
  • Regulatory Consultation (10%)
    • Provide advisory services on compliance matters to LOB management and staff (first line of defense) in support of BMO's Investment Banking and Research businesses.
    • Execute appropriate testing and analyze key performance indicators to ensure requirements of Capital Markets policies and programs are maintained at a level commensurate with regulatory expectations. Identify observations of trends and recommendations to optimize data. Support root cause analysis in response to material control failures in lines of business.
  • Regulatory Governance (15%)
    • Develop a high level of expertise in all regulations, directives and guidance which apply to the LOB Compliance group(s) supported. Identify training needs based on gaps identified through the compliance monitoring process.
    • Identify possible enhancements to Line of Business Compliance tools and processes and communicate them to the Compliance management.
Requirements
  • Education
    • Bachelor's degree.
  • Experience
    • Ideally 1-2 years of experience with Control Room, but open to someone with product knowledge or research.
    • Background in trading surveillance and/or email surveillance is an asset but not required.
  • Skills
    • Strong communication, critical thinking, relationship management, and project management skills.
    • Prior CIRO registration or FINRA Series 7, 79, 86/87 or 24 certifications are an asset but not required.
What We Offer

BMO offers a competitive salary and a comprehensive benefits package, including health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. We are committed to an inclusive, equitable and accessible workplace, and we strive to help our employees grow and make an impact.

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