Associate General Counsel

2 weeks 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 developments for and on behalf of BMO Financial Group. The AGC / CCO provides legal advice based on knowledge of legal principals, practices and procedures, and knowledge of the financial services industry and its environment. Influences and negotiates to achieve business objectives. Works to achieve organizational goals while minimizing legal risk. Works to deliver legal advice, provide legal oversight and issues management.

The AGC / CCO, in their Compliance function assists in the implementation, maintenance and administration of a specific compliance program for BMO’s Insurance Business. Coordinates and performs risk assessment, monitoring, testing and surveillance activities to ensure program remains current and aligned with BMO Compliance Program. The AGC / CCO has a dotted reporting line to the Vice-President, CCO Wealth Management & P&BB in relation to the CCO function. The AGC / CCO 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.

The AGC/CCO:

- Fosters a culture aligned to BMO purpose, values and strategy and role models BMO values and behaviours in all that they do.
- Ensures alignment between values and behaviour that fosters diversity and inclusion.
- Regularly connects work to BMO’s purpose, sets inspirational goals, defines clear expected outcomes, and ensures clear accountability for follow through.
- Builds interdependent teams that collaborate across functional and operating groups to create the highest value for all stakeholders.
- Attracts, retains, and enables the career development of top talent.
- Improves team performance, recognizes and rewards performance, coaches employees, supports their development, and manages poor performance. Uses multiple perspectives, imagines alternatives, and addresses potential outcomes for various courses of action to devise strategy, make recommendations and minimizes legal issues.
- Advises and influences senior leaders on managing regulatory risk associated related to business decisions and strategic initiatives
- Proactively identifies legal issues and potential problems and communicates appropriately to stakeholders.
- Oversees and delivers legal advice from internal/ external counsel, ensures compliance with internal policies & procedures, and provides advice/ rulings as necessary for complex functions/ activities.
- Designs and oversees legal advice strategies & approaches for the unit activity.
- Oversees strategy, design, implementation, and monitoring/reporting of all compliance policies and programs that have implications within the function across business groups or jurisdictions
- Reviews and reports insights on regulatory risk based on compliance data to Compliance and business/group senior management.
- Oversees the implementation, sustainability and assesses operating effectiveness compliance programs, providing advice/rulings as necessary, for multiple complex function(s) / activity(ies) across a business group or jurisdiction or deep within a functional area.
- Reports to Compliance and business/group senior management on regulatory risk and compliance program effectiveness.
- Management oversight for establishing and reinforcing compliance programs & protocols for functional area of responsibility.
- 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, effective

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