Manager, Business Compliance Monitoring

2 months ago

Toronto, Canada BMO Financial Group Full time

100 King Street West Toronto Ontario,M5X 1A1

**Mandate**:
As a member of the Wealth Monitoring & Testing Team, the Manager, Business Compliance Monitoring & Testing, Canada Wealth Management carries responsibility for delivering on components of the first line monitoring and testing plans for Wealth LOB’ in accordance with the Enterprise Compliance Framework

To effectively execute the mandate, the Manager, Business Compliance Monitoring & Testing, Canada Wealth Management must possess a high level of expertise in Wealth regulations, directives and guidance. The individual’s mandate will include: supporting the Enterprise Compliance Program management by:

- Developing and executing the monitoring and testing plan.
- Managing special projects as may be assigned from time to time;
- Conducting business impact analysis with respect to emerging regulations;
- Acting as a liaison with respect to the monitoring & testing program with the various internal business partners across the LOBs and;
- Representing First Line Compliance and assisting with the interactions between examiners and auditors during internal, external and regulatory audits and examinations.

**Key Accountabilities**:

- Execute the first line monitoring & testing program for the Wealth LOBs (excluding Insurance) and documenting results, outcomes as required.
- Understand ECP methodology
- Design and implement specific monitoring and testing procedures for each applicable area of review.
- Understand Wealth (excluding Insurance) business processes across multiple entities across North America
- Understand controls that support regulatory compliance
- Access and update the enterprise compliance book of record GRCE
- Communicate M&T identified issues to 1st Line businesses, 1st Line Compliance Advisory, 2nd Line Compliance
- Raise compliance and control related awareness with the businesses and provide appropriate advice and guidance to mitigate exposures and risk. For issues identified, provide root cause analysis and recommendations to management.
- Identify opportunities to improve the effectiveness of compliance testing
- Act as a liaison and compliance support to various internal business partners across the Wealth Management businesses.
- Prepare reports and related test results dashboard for various stakeholders including management.

**Knowledge & Skills**
- University Degree
- 3+ years experience in a compliance or audit role ideally in a dealer and/or portfolio management environment.
- Knowledge and understanding of IIROC rules and regulations applicable to dealer representatives and OSC rules applicable to portfolio managers and investment fund managers.
- Excellent data analysis skills, organizational, analytical and communication skills.
- Exhibit strong planning skills
- Successful completion of the Canadian Securities Course is preferred.
- Working knowledge of information technology tools required including: MS Excel, MS Word and portfolio management or investment industry software.
- Excellent interpersonal skills and strong written and verbal business communication skills.
- Experience in the planning and execution of testing (e.g. Audit, OSFI E-13, etc.)
- Familiarity with Wealth regulatory requirements (e.g. OSC, IIROC, SEC, OCC etc.)
- Familiarity with Investment Funds (key regulations include NI 81-102, 81-107, etc.)
- Understanding of risk and controls

**We’re here to help**

At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.

As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one - for yourself and our customers. We’ll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we’ll help you gain valuable experience, and broaden your skillset.

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