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Manager, Governance and Compliance

1 month ago

Toronto, Canada BMO Financial Group Full time

100 King Street West Toronto Ontario,M5X 1A1

Experience working with audit (internal and external) during audit engagements and responding to regulatory requests and exams

Develops and maintains an effective internal control framework that defines the ways and methods governance is implemented, managed, and monitored in the designated business/group portfolio. The governance framework includes policies, guidelines and provides programs, practices and measures to promote transparency, accuracy, consistency across groups. Applies specialized knowledge of risk management, regulatory compliance and internal controls related to business processes and information.
- Acts as a trusted advisor to assigned business/group.
- Influences and negotiates to achieve business objectives.
- Guides/assists in the identification and classification of issues; recommends action plans.
- 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 decision-making.
- Researches existing or emerging requirements & related best practices to assist and develops recommendations for changes/enhancements.
- Helps determine business priorities and best sequence for execution of business/group strategy.
- Conducts independent analysis and assessment to resolve strategic issues.
- Leads the development and maintenance of the internal controls governance system and framework.
- Ensures alignment between stakeholders.
- Represents the internal control governance program/structure during internal/external regulatory audits and/or examinations.
- Coordinates the management of databases; ensures alignment and integration of data in adherence with data governance standards.
- Builds change management plans of varying scope and type; leads or participates in a variety of change management activities including readiness assessments, planning, stakeholder management, execution, evaluation and sustainment of initiatives.
- Leads or participates in defining the communication plan designed to positively influence or change behaviour; develops tailored messaging; and identifies appropriate distribution channels.
- Leads and integrates the monitoring, measurement & reporting on the status of the internal controls governance framework/program to internal & external stakeholders.
- Leads the management of governance meetings and maintenance of governing body mandates, oversight and approval guidelines.
- May provide specialized support for other internal and external regulatory requirements.
- Provides input into the planning and implementation of ongoing operational programs in support of the model validation/risk framework.
- Leads/participates in the design, implementation and management of core business/group processes.
- Develops governance and control-related solutions and makes recommendations based on an understanding of the business strategy and stakeholder needs.
- Provides advice and guidance to assigned business/group on the implementation of the control framework, including effective challenge.
- Performs testing on design of controls as required e.g. observation, inspection, replication, recalculation to ensure risks are identified and controls are effective.
- Reviews processes and identifies opportunities for risk mitigation through proposing new controls or revising existing controls.
- Identifies where corrective actions are required and escalates per guidelines; ensures corrective action is taken as necessary.
- Coordinates and participates in the execution of oversight/governance activities including reporting; assessment of education & training needs, development/delivery of training; development and execution of regulatory administration processes & procedures; management of review/updates to policies, etc.
- Consults with stakeholders to improve consistency and transparency of control measurement/metrics and reporting.
- Assists with the interpretation of new or changing regulations and assessing impacts to the governance frameworks.
- Develops and maintains in-depth knowledge of business and related risk management requirements and legislative/regulatory directives and guidance.
- Builds effective relationships with internal/external stakeholders.
- Ensures alignment between stakeholders.
- Analyzes data and information to provide insights and recommendations.
- Documents the internal control governance system, processes and framework to describe compliance requirements, activities, processes, roles & responsibilities.
- Develops tools, checklists and communications to address gaps, issues and new requirements.
- Monitors and tracks performance; addresses any issues.
- Focus is primarily on business/group within BMO; may have broader, enterprise-wide focus.
- Provides specialized consulting, analytical and technical support.
- Exercises judgment to identify, diagnose, and solve problems within