Compliance Manager, Bmo Investorline

5 days ago

Toronto, Canada BMO Financial Group Full time

100 King Street West Toronto Ontario,M5X 1A1

Reporting to the Chief Compliance Officer, the Compliance Manager is to aid in executing the management of all regulatory compliance and risk management for BMO InvestorLine (BMO IL). In this role, you will assist the Compliance management in the effective implementation, maintenance and administration of a Enterprise Compliance Program.

You will get the opportunity to work 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 Compliance Manager, within Legal and Regulatory Compliance (LRC) 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, and assists in the implementation of new or revised policies and programs to address them. You will also develop and maintain compliance information for analysis and reporting.

Assists in the implementation, maintenance and administration of a specific compliance program. Coordinates and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned with BMO Compliance Program. Works with business/group and internal partners to ensure regulatory, corporate and fiduciary obligations are met. Advises business/group on implications of new regulatory developments or internal products, and assists to implement new/revised policies and programs to address them. Identifies risks and implements appropriate actions to mitigate them. Develops and maintains compliance information for analysis and reporting. Achieves compliance goals by maintaining current knowledge of regulatory requirements and developments. Maintains functional and regulatory expertise specific to business group, and refers to Compliance Policies & Procedures manuals for requirements. Contributes to business/group results by providing oversight and making recommendations that significantly impact the Bank’s ability to monitor regulatory compliance programs, minimize operational risk and align with regulatory agencies.
- Provides advice and guidance to assigned business/group on implementation of solutions aligned to regulatory risk appetite based on an understanding of business operations and stakeholder needs.
- Consults on new products, services and automated systems to assist with incorporating compliance requirements into these initiatives.
- Influences to achieve effective regulatory compliance controls that enable business objectives.
- Identifies and advises on emerging issues and trends to inform decision-making.
- Helps determine business priorities and best sequence for execution of business/group strategy.
- Builds effective professional relationships with business group, internal/external stakeholders and trust with regulators.
- Analyses and reports on compliance data, and related data to gain insights on regulatory risk.
- Oversees the development and maintenance of guidelines and procedures, providing advice/rulings as necessary, for a single function within a geographic area.
- Participates in the design, implementation and management of core business/group processes.
- 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 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.
- Analyzes 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 busin

  • Operations Specialist, Tax Compliance

    2 months ago

    Toronto, Canada BMO Financial Group Full time

    100 King Street West Toronto Ontario,M5X 1A1 Supports the business/group leader in the effective implementation, maintenance and administration of first line of defense (1st LOD) programs for QI, FATCA and CRS International Taxation Regimes, including overseeing business operations within the jurisdiction to ensure adherence and efficiency. Contributes to a...

  • Bmo Rewards Loyalty Manager, Bmo Rewards Program

    6 months ago

    Toronto, Canada BMO Financial Group Full time

    55 Bloor Street West Toronto Ontario,M4W 3N5 **Knowledge & Experience** - Strong track record delivering results in ambiguous and challenging situations - 4-6 years loyalty program and/or product management experience - 2-3 years partnership management - P&L accountability and payments experience preferred - Minimum undergraduate university degree, an MBA...

  • Managing Director, Digital Investing Marketing

    3 months ago

    Toronto, Canada BMO Financial Group Full time

    100 King Street West Toronto Ontario,M5X 1A1 This role has dual accountability for BMO InvestorLine marketing leadership and BMO Wealth Management Digital Marketing. For BMO InvestorLine, the role develops marketing strategy including creation and execution of all marketing elements, development, and execution of research to support strategic marketing...

  • Bmo Corporate Card Lifecyle Manager

    2 months ago

    Toronto, Canada BMO Financial Group Full time

    33 Dundas Street West Toronto Ontario,M5G 3C2 BMO is on a journey to support North American Corporate Card clients make Real Financial Progress. We provide clients with a competitive suite of Corporate Card products that uniquely position us to help clients achieve their needs while remaining in control of their finances. As Corporate Card Lifecycle...

  • Manager, Claims

    6 months ago

    Toronto, Canada BMO Financial Group Full time

    250 Yonge Street Toronto Ontario,M5B 2L7 This is a hybrid role with 2-days in the office at our office located at 250 Yonge Street. The Claims Department at BMO is looking for an energetic individual to join our great claims team. As the Manager, Claims - you will have a pivotal role in overseeing the management of the Claims Specialist team and includes...

  • Portfolio Manager, Quantitative Investment

    6 months ago

    Toronto, Canada BMO Financial Group Full time

    100 King Street West Toronto Ontario,M5X 1A1 **Key Dimensions**: - Investment Management - Investment Research and Programming - Sales Support - Risk Management & Compliance **Accountabilities**: **Investment Management** - Responsible for the day to day management of active and rule-based quantitative investment strategies - Manages, evaluates and...

  • Manager, Sanctions Compliance

    7 months ago

    Toronto, Canada BMO Financial Group Full time

    100 King Street West Toronto Ontario,M5X 1A1 - Acts as a trusted advisor to assigned business/group. - Influences and negotiates to achieve business objectives. - Recommends and implements solutions based on analysis of issues and implications for the business. - Assists in the development of strategic plans. - Identifies emerging issues and trends to inform...

  • Advisor, Regulatory and Compliance

    4 weeks ago

    Toronto, Canada BMO Financial Group Full time

    100 King Street West Toronto Ontario,M5X 1A1 The Advisor, Regulatory and Compliance will dually support all compliance and regulatory functions for the Customer Complaint Appeal Office and Ethics Office (together “the Office”). - The Ethics Office is responsible promoting ethical conduct across BMO with a goal of sustaining an ethical culture based on...

  • Managing Director, Enterprise Compliance Testing

    7 months ago

    Toronto, Canada BMO Financial Group Full time

    100 King Street West Toronto Ontario,M5X 1A1 Additional Job Description The Managing Director - Enterprise Compliance Testing (MD) leads and directs the second line compliance testing function, with an enterprise mandate for BMO Financial Group across all jurisdictions and legal entities that BMO operates. The MD leads a global team responsible for...

  • Compliance Officer, Lrc Fixed Term/secondment

    7 months ago

    Toronto, Canada BMO Financial Group Full time

    100 King Street West Toronto Ontario,M5X 1A1 **Reporting to Senior Manager Retail Compliance, the Compliance Officer is to aid in executing the management of all regulatory compliance and risk management issues for BMO Nesbitt Burns (BMO NB). The Compliance Officer is responsible for ensuring that the regulatory compliance requirements are met on a daily...

  • Strategic Risk and Compliance Manager

    3 weeks ago

    Toronto, Ontario, Canada BMO Financial Group Full time

    BMO Financial Group is a leading financial institution with a strong commitment to driving positive change in the lives of our clients, communities, and employees. As a Strategic Risk and Compliance Manager, you will play a critical role in shaping our risk management culture and ensuring the effective implementation of first-line-of-defense programs.About...

  • Associate General Counsel

    6 months ago

    Toronto, Canada BMO Financial Group Full time

    100 King Street West Toronto Ontario,M5X 1A1 Reporting to the Chief Legal Counsel of BMO Global Asset Management, Canadian Private Wealth and Insurance, the Associate General Counsel (AGC) / Chief Compliance Officer (CCO) - Insurance provides and manages the delivery of legal and regulatory advice on products, initiatives, strategies, policies and...

  • Associate Compliance Officer

    7 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...

  • Manager, Business Compliance

    6 months ago

    Toronto, Canada BMO Financial Group Full time

    100 King Street West Toronto Ontario,M5X 1A1 **General**: This role: - Executes First Line compliance monitoring, reporting and control execution. - Manages/supports large/complex compliance programs/frameworks /projects/initiatives to ensure compliance risks are appropriately identified, risk assessed, mitigated and regulations adhered to. - Supports the...

  • Portfolio Manager, Non-linear Solutions

    7 months ago

    Toronto, Canada BMO Financial Group Full time

    100 King Street West Toronto Ontario,M5X 1A1 **Key Accountabilities**: **Investment Management** - Responsible for the day to day management of active and rule-based derivative focused strategies - Manages, evaluates and monitors performance of the designated portfolio in alignment with investment objectives and client parameters based on the designated...

  • Associate, Bmo Capital Partners

    7 months ago

    Toronto, Canada BMO Financial Group Full time

    100 King Street West Toronto Ontario,M5X 1A1 **About BMO Capital Partners** Established in 1998, BMO Capital Partners is an evergreen investment fund with $1.6 billion of committed capital from BMO. We support the North American middle-market through commitments in private equity funds across buyout, growth equity and venture capital strategies and through...

  • Junior Analyst, Structured Solutions

    6 months ago

    Toronto, Canada BMO Financial Group Full time

    100 King Street West Toronto Ontario,M5X 1A1 The Junior Analyst will help develop and execute new initiatives from inception to implementation to achieve business objectives of BMO's Global Asset Management on the Structured Solutions team - Collaborate with stakeholders across the Bank to find new revenue opportunities and identify efficiencies in existing...

  • Product Manager, Bmo Insurance

    4 months ago

    Toronto, Canada BMO Financial Group Full time

    250 Yonge Street Toronto Ontario,M5B 2L7 Defines and implements the product development, sales and marketing strategy for an insurance product or product portfolio, with P&L (profit and loss) accountability. This includes market research, forecasting, pricing and competitive analysis. Innovates to develop new products and enhancements to existing ones, to...

  • 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...

  • Risk and Compliance Manager- Tps

    3 weeks ago

    Toronto, Canada BMO Financial Group Full time

    33 Dundas Street West Toronto Ontario,M5G 3C2 Supports the business/group leader in the effective implementation, maintenance and administration of first line of defense (1st LOD) programs (e.g., Operational Non-Financial Risk), including overseeing business operations within the jurisdiction to ensure adherence and efficiency. Contributes to a strong risk...