Vice President, Capital Markets Conduct Risk Management

Join to apply for the Vice President, Capital Markets Conduct Risk Management role at BMO Capital Markets BMO Capital Markets is a leading, full‑service financial services provider. We offer corporate and investment banking, treasury management, and research and advisory services to clients around the world. Key Accountabilities The VP, Capital Markets Conduct Risk Management is responsible for overseeing the capital markets conduct risk framework and related activities. The role collaborates with Lines of Business, Risk Partners, and Compliance to review and validate conduct risk frameworks, metrics, and dashboards. Additional responsibilities include maintaining regulatory knowledge, overseeing Risk and Control Self‑Assessments (RCSA), and ensuring effective first line of defense monitoring protocols for capital markets products and personnel. Responsibilities Develop and implement conduct risk frameworks and policies to ensure compliance with regulatory standards. Conduct regular risk assessments and monitoring activities to identify and mitigate conduct risks within the capital markets division. Ensure compliance with all relevant regulatory requirements related to conduct risk and stay updated on regulatory changes. Work closely with senior management, legal, compliance, and other stakeholders to promote a culture of integrity and accountability. Develop and deliver training programs to enhance awareness of conduct risk among employees. Lead investigations into conduct‑related incidents, identify root causes, and implement corrective actions. Prepare and present reports on conduct risk issues to senior management and the board, providing insights and recommendations for improvement. Benchmark and incorporate industry best practices and trends in conduct risk management into the organization’s strategies. Lead and manage a team of conduct risk professionals, providing guidance, support, and development opportunities. Drive continuous improvement initiatives to enhance the effectiveness and efficiency of conduct risk management processes. Knowledge, Skills & Requirements 5+ years of strategy, compliance, regulatory, conduct risk or business risk management experience. Strong product knowledge and understanding of capital markets activities, risk taxonomies, and applicable regulations. Knowledge of the Broker Dealer and Banking Regulations, including SEC, FINRA, OCC, FRB, NFA, and CFTC. Demonstrated analytical, auditing, writing, communications, and presentation skills. Strong collaborative skills and ability to manage stakeholder relationships across lines of defense. Excellent Excel and data analytic skills; familiarity with PowerBI, Python, and other scripting tools is a plus. Proven project management capabilities and ability to coordinate efforts across teams. Ability to interpret technical compliance material and translate regulations to business units. Strong judgment, interpersonal, and discretion skills for sensitive issues. Advanced educational degree desirable (MBA, CPA, or JD). Location Toronto, Ontario, Canada Compensation Base salary range: $90,000 – $130,000 CAD plus incentive pay. Salary range for this role: $69,000 – $129,000 CAD. Privacy At BMO Financial Group, your privacy is our priority. Our Privacy Code outlines our commitment to you and is designed to comply with applicable Privacy legislation in Canada. Visit our website at http://www.bmo.com for more details. About Us BMO is driven by a shared purpose: Boldly Grow the Good in business and life. We transform lives and businesses, empowering our customers to reach their goals. We offer training, coaching, and network‑building opportunities to help you grow professionally. To find out more, visit https://jobs.bmo.com/ca/en. BMO is committed to an inclusive, equitable, and accessible workplace. Accommodations are available on request for candidates throughout the selection process. Contact your recruiter for assistance. Note to recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. #J-18808-Ljbffr