Associate Compliance Officer, Continuing Education

3 weeks ago

Toronto, Canada BMO Financial Group Full time

100 King Street West Toronto Ontario,M5X 1A1

This position will oversee the monitoring and tracking of Continuing Education Credit completion for all of BMO’s Investment Industry Regulatory Organization of Canada (IIROC) registered individuals. In this role, you will ensure that information regarding Continuing Education (CE) credit completion is efficiently and accurately entered into the CE tracking database. You will also develop and prepare reports to track completion and respond to queries regarding Continuing Education credits, and follow-up on outstanding information.

The Associate Compliance Officer, Continuing Education, assists the Compliance management in the effective implementation, maintenance and administration of a specific Compliance Program. The role coordinates and performs risk assessment, monitoring and surveillance activities to ensure that the Compliance Program remains current and is aligned with the Enterprise-wide Compliance Program. The role works closely with the Line of Business (LOB) group(s) supported and other internal business partners to ensure regulatory, corporate and fiduciary obligations are met. To effectively achieve compliance goals, the Associate Compliance Officer, Continuing Education maintains current knowledge of regulatory requirements and developments, monitors risk, identifies and corrects possible gaps and weaknesses. This role advises LOB management on implications of new regulatory policies or Bank products and assists in the implementation of new or revised policies and programs to address them. The role develops and maintains compliance information for analysis and reporting.
- Advises first line of defense management and employees on compliance matters.
- Builds effective professional relationships with business line.
- Analyses and reports on compliance data.
- Provides input on compliance implications into the planning and implementation of operational programs.
- 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**:

- Experience dealing with large quantities of data
- Strong communication, critical thinking, relationship management, and project management skills
- Able to effectively present analytics data to Business users
- Proficient with Microsoft Excel, Outlook and SharePoint
- Ability to work in a fast-paced environment
- Efficient and accurate data entry
- Good attention to detail
- Typically between 1 - 3 years of relevant experi

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