Associate Control Room

3 months ago

Toronto, Canada BMO Financial Group Full time

100 King Street West Toronto Ontario,M5X 1A1

**Key Accountabilities**:
**Compliance Program Execution and Monitoring (75%)**:

- ** Daily duties include wide-range of Control Room compliance activities;**:

- ** Coordinating coverage over multiple jurisdictions with respect to grey/restricted list and research.**:

- ** Review of research prior to publication including compliance with research restrictions in accordance with the Firm’s policies and procedures and verification of compliance with Wall Crossing procedures.**:

- ** Maintenance of grey and restricted lists.**:

- ** Liaising with other Global Compliance teams to monitor research communication activities pursuant to certain legal, regulatory and/or policy considerations.**:

- ** Coverage for conflict clearances.**:

- ** Execution of Monitoring and Testing for both Investment Banking and Research businesses.**:
**Regulatory Consultation (10%)**:

- ** Provide advisory services on compliance matters to LOB management and staff (first line of defense) in support of BMO’s Investment Banking and Research businesses.**:

- ** Execute appropriate testing and analyze key performance indicators to ensure requirements of Capital Markets policies and programs are maintained at a level commensurate with regulatory expectations. Identify observations of trends and recommendations to optimize data. Support root cause analysis in response to material control failures in lines of business.**:
**Regulatory Governance (15%)**:

- ** Identify possible enhancements to Line of Business Compliance tools and processes and communicate them to the Compliance management.**:
**Knowledge & Skills**:

- ** Bachelor’s degree.**:

- ** Minimum of 1-2 years of with Control Room or related experience.**:

- ** Strong knowledge of securities rules and regulations with respect to Research; (specifically FINRA Rule 2241, 2242, IIROC rule 3400, and OSC 33-601)**:

- ** Strong communication, critical thinking, relationship management, and project management skills**:

- ** Prior CIRO registration or FINRA Series 7, 79, 86/87 or 24 certifications are an asset.**:
**This is a hybrid role requiring 2 days in the Toronto office**:
**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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