Compliance Officer

3 months ago

Toronto, Canada BMO Financial Group Full time

100 King Street West Toronto Ontario,M5X 1A1

If you’re looking for your next dream job, consider this one in BMO’s Enterprise Risk Group where every colleague helps protect and grow the bank by providing independent review and oversight of enterprise-wide risks, working together to maintain a risk management framework and fostering a strong risk culture. #ERPMDreamJobs

This position is located in Toronto and offers a hybrid work model with 3 days in the office.

The Compliance Officer - Regulatory Inquiries is an integral member of the Capital Markets Compliance team. Reporting to the Director - Regulatory Inquiries and Compliance Strategy, the Associate is responsible for timely, accurate and complete responses to securities regulatory inquires. In this critical function attention to detail and the ability to build effective professional relationships with business groups, internal/external stakeholders and trust with regulators are critical to success.

BMO Capital Markets Compliance and the regulatory inquiries team operates in a dynamic environment. Flexibility and the ability to perform in a demanding, time sensitive environment is essential.

**Key Accountabilities**

Regulatory Inquiries and Investigations (90%)
- Intake, analysis and execution of requests from regulators
- Identification of key stakeholders and relevant business partners required for fulfillment of regulatory requests
- Collaborates with key stakeholders to identify data sources and to collect relevant data
- Identifies appropriate technologies and gains understanding of their use
- Collaborates with compliance, legal and business partners to analyze data to be able to provide complete accurate and timely responses
- Maintain Regulatory Inquiry Inventory, ensuring that all inquiries received are tracked for completion and provide key details regarding inquiries.
- Evaluates risk and provides appropriate reporting and escalation as required

Other ancillary duties (10%)

The incumbent may be requested to assist in other departmental and administrative functions including:

- Data entry
- Distributes regulatory circulars, notices and communications _to impacted Compliance groups._
- Assist with reviewing and tracking new product initiatives.
- Preparation of Management reports and Regulatory filings
- Provide support for emerging regulatory requirements or other situational events as they occur

**Qualifications**:
**Must-have**:

- ** Exceptional organizational skills** with a proven ability to prioritize tasks and manage tight deadlines.
- Typically between 3 - 5 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience.
- Ability to maintain a high level of attention and work under pressure while handling multiple requests.
- Knowledge of Microsoft Office suite including Excel, and PowerPoint.
- Clear and concise communication.
- Discretion and integrity.
- Inquisitive mindset.
- Knowledge of Excel Functions, VBA, SQL, and Python.
- Proficiency with PowerBI and other data visualization tools.
- Knowledge of Canadian regulatory environment and securities regulations as it relates to Capital Markets.
- Knowledge of equities, fixed Income and listed derivative products and trading would be an asset.

Once in role, the incumbent will be expected to develop an understanding of business products and process in order to enhance their contribution to the regulatory inquiries process and to the Compliance mandate in general.

**Salary**:
$60,000.00 - $111,700.00

**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.

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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