Vp, Volcker Documentation

4 days ago

Toronto, Canada BMO Financial Group Full time

100 King Street West Toronto Ontario,M5X 1A1

BMO Capital Markets is a leading, full-service financial services provider. We offer corporate and investment banking, treasury management, as well as research and advisory services to clients around the world. #bmocapitalmarkets

ROLE MANDATE

The Business Risk and Solutions group within the Capital Markets’ Office of the COO is responsible for performing first line of defense compliance duties under the Volcker Compliance Program. Volcker Rule governance activities for Global Markets are conducted centrally by a North American based team of Volcker Rule experts within CM Regulatory Integration, forming part of the Central Volcker Program Group (“**VPG**”). The VPG operates in a dynamic and challenging environment. The ability to effectively manage challenging circumstances, multiple tasks, and demanding job requirements are key attributes to success.

The principal role of the Vice President is to assist with document revision requests, intake and processing consistent with BMO policy and convention. The function also has key responsibility for running meetings and preparing minutes. The incumbent will need to become thoroughly familiar with Volcker Rule exemption and exclusion criteria in order to appropriately adjudicate document revision requests. The Vice President will also need to become familiar, at a high level, with strategic and operational aspects across a broad array of Capital Market’s business units.

In order to effectively perform the role, impeccable organization and attention to detail are fundamental criteria. The ability to communicate effectively and succinctly, both written and oral, is essential. The role involves significant interaction with other members of the VPG as well as multiple stakeholder groups at all levels of the organization. Demonstrated ability to work effectively as a member of a team is critical.

KEY DIMENSIONS

**Writing - 30%**

**Analytical decision-making - 30%**

**Relationship Management - 30%**

**Reporting - 10%**

KEY JOB FUNCTIONS
- Administer, update, track and complete business unit documentation updates and new business unit documentation requests
- Assist in adjudicating and prioritizing incoming business change requests
- Revise relevant documentation including business unit profiles and policies and procedures
- Track VPG issues and initiatives
- Prepare Line of Business and Management reporting presentations
- Coordinate meeting schedules, and prepare minutes and other meeting documentation
- Interact with multiple stakeholders including business, legal, regulatory & compliance, market risk, cross business structuring, finance and other team members to obtain required information
- Maintain accurate records and manage document version control
- Maintain consistent and accessible document archives using appropriate naming conventions
- Coordinate stakeholders’ comments and approvals through electronic communications and/or meetings/conference calls

KNOWLEDGE AND SKILLS
- Undergraduate degree from a recognized educational institution
- Advanced educational degree is desirable - MBA, CPA, or JD
- 5-7 years of relevant experience in the financial services industry in corporate and/or investment banking areas
- Understanding of the Volcker Rule would be an asset
- Legal and/or compliance background would be an asset
- Prior experience in a program management role would be an asset
- Familiarity of BMO Capital Markets structure, infrastructure, products, services and technology
- Knowledge of responsibilities of BMO Capital Markets support groups and stakeholders (e.g., Legal, Regulatory & Compliance, Market Risk, Accounting and Finance areas, etc.)
- Knowledgeable of the various risks and controls associated with Capital Markets’ business activities
- Good understanding of Canadian & U.S. regulations (e.g. Bank Act, IIROC, OSFI, Federal Reserve)

**Skills**:

- Highly developed written and oral communication skills; proficiency in communicating policies and procedures in a clear and concise manner
- Ability to advocate persuasively and to negotiate with influence to achieve change in areas without direct reporting status to the incumbent
- Strong relationship management skills; ability to establish and manage multiple stakeholder relationships with the business, within the three lines of defense and with corporate support functions
- Excellent judgment, someone who can consult, influence, collaborate, and appropriately escalate issues
- Ability to read technical compliance material and distil the applicability of the regulations to respective business unit(s)
- Exceptional ability to independently manage multiple priorities and to proactively service multiple clients in a fast-paced environment
- Ability to work independently to support achievement of Capital Markets objectives
- Ability to work a demanding schedule under limited supervision
- Excellent attention to detail and ability to learn

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