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Retail Insurance Compliance Specialist
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Retail Insurance Compliance Specialist at BMO Responsibilities Supports the business/group leader in the effective implementation, maintenance and administration of first line of defense (1st LOD) programs (e.g., compliance, regulatory, etc.), including overseeing business operations within the jurisdiction to ensure adherence and efficiency. Contributes to a strong risk management culture through collaboration with other first line employees, and second & third line functions to ensure compliance risks are identified, mitigated, monitored and reported on an ongoing basis. Supports multiple, similar business units with corresponding number of regulators. Assists with the implementation of risk management programs/frameworks while identifying and minimizing negative impacts to the business. Develops and implements risk mitigation strategies. Acts as a subject‑matter expert in the evaluation, development and implementation of an internal control system. Supports the execution of strategic initiatives in collaboration with internal and external stakeholders. Builds effective relationships with internal/external stakeholders and ensures alignment between stakeholders. Breaks down strategic problems, analyses data and information to provide insights and recommendations. Monitors and tracks performance, addresses any issues. Builds change‑management plans of varying scope and type; leads or participates in change‑management activities including readiness assessments, planning, stakeholder management, execution, evaluation and sustainment of initiatives. Monitors that 1st line jobs are following defined processes and procedures. Develops, documents and maintains business/group procedures, updates and obtains approvals as regulations or the operating environment changes, and communicates changes to the business/group & relevant stakeholder groups. Supports the development of measurable sustainment strategies, including assessing and recommending mitigations for industry/segment‑specific risks and prioritizing opportunities presented by internal and external stakeholders. Tracks exception/exemption requests and corresponding approvals. Builds awareness, knowledge, and skills and, as necessary, provides communication, practical tools and ongoing support including making presentations to promote a culture of risk identification and management. Supports the management of 1st LOD program for the business/group in compliance with appropriate principles, standards & direction from the second line of defense groups, including developing and promoting program and ensuring execution of all program components. Works with assigned business/group leaders to implement 1st LOD programs and frameworks, developing and maintaining an in‑depth understanding of the applicable regulatory and internal risk management requirements. Interprets and provides advice on the application of the requirements for the business/group. Develops and maintains an understanding of the business/group strategies and objectives, products and services, internal and external stakeholders and business processes as well as the underlying infrastructure to identify and manage implications and risk exposures for the business/group. Identifies, investigates, analyzes, documents & mitigates program risks, taking into account jurisdictional issues, and raises any issues or concerns to senior leaders and stakeholders. Analyzes the impact and effectiveness of the program through periodic reviews. Recommends adjustments to the overall program, policy or processes within the business/group in accordance with the Risk Appetite Statement, Governance and Corporate Policy. Supports the business/group through internal/external audits or regulatory examinations and assists in development of action plans to resolve any identified issues. Provides support to the development and delivery of training and awareness programs within the business/group to increase awareness of and compliance to risk management requirements. Focus is primarily on business/group within BMO; may have broader, enterprise‑wide focus. Exercises judgment to identify, diagnose, and solve problems within given rules. Works independently on a range of complex tasks, which may include unique situations. Qualifications Typically between 4‑6 years of relevant experience and post‑secondary degree in a related field or an equivalent combination of education and experience. Program Management – Good. Technical proficiency gained through education and/or business experience. Verbal & written communication skills – In‑depth. Collaboration & team skills – In‑depth. Analytical and problem‑solving skills – In‑depth. Influence skills – In‑depth. Data‑driven decision making – In‑depth. Salary $56,000.00 – $103,500.00 Pay Type Salaried Benefits BMO offers a comprehensive total‑compensation package that includes health insurance, tuition reimbursement, accident and life insurance, retirement savings plans, performance‑based incentives and discretionary bonuses. Additional perks and rewards are available; further details can be found on our benefits website. About BMO At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. We create lasting, positive change for our customers, communities and people. We empower our team through innovative training, coaching, and network‑building opportunities to help you grow from day one. BMO is committed to an inclusive, equitable and accessible workplace. Accommodations are available on request for candidates participating in all aspects of the selection process. To request accommodation, please contact your recruiter. #J-18808-Ljbffr
