Investigator

5 months ago

Toronto, Canada BMO Financial Group Full time

100 King Street West Toronto Ontario,M5X 1A1

**Your Core Responsibilities will be**:

- Triage assigned cases to identify any urgent, sensitive and /or reputational issues
- Conduct impartial investigations of complex complaints regarding investment and banking products
- Review applicable documents and correspondence such as agreements, terms/conditions, policies and procedures, legal or regulatory requirements; confirm practices; listen to applicable calls; confirm disclosure; interview customer and relevant BMO employees
- Provide recommendations on resolutions of customer complaints to management
- Negotiate and facilitate effective and fair resolutions between internal stakeholders (business, compliance, legal groups etc.) and customers
- Draft clear, concise and thorough responses to customer complaints
- Provide information on issues and trends to senior management
- Identify opportunities to enhance BMO policies and processes to help prevent similar complaints and improve the customer experience
- Manage relationships with assigned client groups and leaders
- Respond to requests from external dispute resolution providers, facilitate interactions with the business and facilitate resolutions
- Share knowledge and support colleagues

**Typical Compliance Related Responsibilities**:

- Provides advice and guidance to assigned business/group on implementation of solutions to manage regulatory risk based on an understanding of business operations and stakeholder needs.
- Builds effective professional relationships with business line, other internal/external stakeholders and regulators on the initial stages of investigations.
- 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 compliance 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 oversees 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.
- Analyses and reports compliance information to Compliance and business/group management.
- 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 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

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