Senior manager, trade compliance

Date limite pour présenter sa candidature : 10/01/2026

Adresse : 100 King Street West

Groupe de famille d'emploi : Finances et comptabilité

Leads the oversight, execution, and continuous enhancement of the Bank's trade surveillance, compliance governance, and regulatory control framework across Treasury's trading-related activities.

Responsible for ensuring adherence to applicable regulatory requirements, internal policies, supervisory expectations, and enterprise compliance programs. Acts as a central point of coordination for audits, regulatory examinations, compliance reviews, control testing, issue remediation, document management, and governance reporting.

Develops and maintains a sustainable compliance framework that identifies, assesses, monitors, escalates, and remediates compliance and conduct risks associated with trading activities and supporting operations.

Maintains knowledge of regulatory requirements and developments, monitors risk, and identifies and corrects possible gaps and weaknesses. Identifies and recommends actions based on market trends and regulatory developments.

Leads regulatory and compliance change initiatives of varying scope and complexity.

Develops implementation plans for new regulatory requirements and policy changes.

Responsabilités

Serves as the primary liaison with Compliance, Internal Audit, Operational Risk, Legal, Regulators, and senior management stakeholders.

Represents the business during regulatory examinations, audit reviews, and compliance assessments.

Leads execution of enterprise-wide compliance and surveillance strategies.

Develops and implements sustainable governance and control frameworks supporting trading activities.

Recommends strategic priorities to strengthen regulatory compliance and control effectiveness.

Leads remediation programs arising from audits, regulatory reviews, compliance assessments, or identified control deficiencies.

Identifies emerging regulatory developments, enforcement trends, and industry practices; recommends enhancements to governance frameworks and surveillance programs.

Acts as a subject matter expert on relevant regulations and policies.

May network with industry contacts to gain competitive insights and best practices.

Supports development of corporate standards, operating principles, and guidelines in conjunction with market risk, business, and finance stakeholders.

Monitors market and regulatory developments to assess impacts to strategies, programs, and plans.

Qualifications

Typically 9+ years of experience in Compliance, Trade Surveillance, Market Risk, Trade Operations, Regulatory Affairs, Internal Audit, or Capital Markets Controls.

Deep understanding of trading products, markets, lifecycle processing, and trading operations.

Strong working knowledge of front-to-back trade flows across Treasury, Capital Markets, Fixed Income, FX, Derivatives, Securities Financing, and Liquidity Management activities.

Experience managing regulatory examinations, internal audits, compliance reviews, and remediation programs.

Experience with surveillance systems, exception management processes, and conduct-risk monitoring frameworks.

Strong knowledge of Volcker Rule, SOX, Regulatory governance framework, risk & control framework, market conduct requirements, trading supervision obligations.

Post secondary Accounting, Finance, Mathematics or related degree.

Finance / business experience with risk management and working knowledge of derivatives preferred.

Exposure to one or more of the following: risk management, financial market instruments, trading and derivative operations, risk systems, hedge accounting, risk management related to asset liability / treasury.

Seasoned professional with a combination of education, experience and industry knowledge.

Verbal & written communication skills - In-depth / Expert.

Analytical and problem solving skills - In-depth / Expert.

Influence skills - In-depth / Expert.

Collaboration & team skills; with a focus on cross-group collaboration - In-depth / Expert.

Able to manage ambiguity.

Data driven decision making - In-depth / Expert.

Salaire : $105,000.00 - $215,000.00

Type de rémunération : Salaire

Ce qui précède représente la fourchette et le type de rémunération de BMO Groupe financier.

Les salaires varieront en fonction de facteurs comme l’emplacement, les compétences, l’expérience, les études et les qualifications pour le poste et pourront inclure une structure de commissions. Les salaires pour les postes à temps partiel seront calculés au prorata du nombre d’heures travaillées régulièrement. Pour les rôles à commission, le salaire susmenti