Associate Compliance Officer

6 months ago

Toronto, Canada BMO Financial Group Full time

100 King Street West Toronto Ontario,M5X 1A1

As a member of the Compliance Program Management support team, you will support internal clients with questions directly related with how to use the compliance technology. This is an entry level role on the compliance team that requires customer service experience, organizational skills, general technical proficiency, and the ability to handle difficult tech questions in a timely manner. You will gain exposure to the BMO Compliance Program and have an opportunity to learn the compliance policies and procedures.

This is a hybrid role requiring 2 days in the Toronto office.
- Advises first line of defense management and employees on technology related matters.
- Builds effective professional relationships with business line.
- Analyses and reports on compliance data.
- Provides input on the compliance technology and may be involved in user testing.
- You may gain exposure to the below compliance officer accountabilities:

- Provides input to business/group on emerging risks, regulatory developments and interpretation of regulations.
- Conducts and/or effectively challenges risk assessments for business/group and assists to identify more effective compliance controls.
- Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements. Supports root cause analysis in response to material control failures in business/group.
- Identifies, assesses, effectively challenges and provides oversight on the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation. Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution.
- Analyzes and reports compliance information to Compliance and business/group management.
- Advises first line of defense management and employees on compliance matters.
- Consults on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives.
- Ascertains training needs and helps develop training based on gaps identified through the compliance monitoring and testing.
- Identifies enhancements to business group compliance tools and processes and communicates to required stakeholders.
- Assists business group management in communicating and implementing changes to applicable regulatory policies and procedures.
- Represents the business/group Compliance team and interacts with examiners/auditors during internal, external and regulatory audits and examinations.
- Provides regulatory perspective on business group’s sales and marketing materials.
- Anticipates/ identifies and analyses risk and consequences of unaddressed risk factors/ compliance gaps, and recommends appropriate controls.
- Builds effective professional relationships with business/groups.
- Operates effectively within a high stress environment with constantly changing expectations and regulatory & audit scrutiny.
- Accesses, monitors and reports on sensitive Bank, customer, transactional and employee information to ensure compliance with regulatory requirements.
- Communicates the roles and importance of each of the three lines of defense, and proactively identifies regulatory risk.
- Focus may be on a business/group.
- Thinks creatively and proposes new solutions.
- Exercises judgment to identify, diagnose, and solve problems within given rules.
- Works mostly independently.
- Broader work or accountabilities may be assigned as needed.

**Qualifications**:

- Typically between 1 - 3 years of relevant customer service experience and post-secondary degree in related field of study or an equivalent combination of education and experience.
- Knowledge of business operations and good technical skills
- Proficient communications, critical thinking, relationship management and project management skills.
- Verbal & written communication skills - In-depth.
- Collaboration & team skills - In-depth.
- Analytical and problem solving skills - In-depth.
- Influence skills - In-depth.

**Compensation and Benefits**:
$49,000.00 - $90,800.00

**Pay Type**:
Salaried

The above represents BMO Financial Group’s pay range and type.

Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group’s expected target for the first year in this position.

**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.

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