Wealth Compliance Advisory, Compliance Manager

3 weeks 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 (e.g., operational risk, AML, compliance, regulatory, etc.), including overseeing business operations within the jurisdiction to ensure adherence and efficiency. Contributes to a strong risk management culture through collaboration with other first line employees, and second & third line functions to ensure Compliance, AML or operational risks are identified, mitigated, monitored and reported on an ongoing basis.
- Supports multiple, varied business units with corresponding number of regulators.
- Monitors and advises on management of risk requirements within the defined risk appetite.
- Manages/supports large/complex risk programs/frameworks /projects/initiatives to ensure risks are appropriately mitigated and regulations adhered to.
- Monitors industry and legislative developments and continuously updates programs to ensure they are competitive and effective
- Supports the position on regulatory compliance Issues by interpreting requirements (existing, new and emerging) and identifying, analysing and addressing resultant gaps and issues, including those raised through the review of change initiatives. Understands the identified risk exposures and supports the development of action plans required to mitigate identified risks.
- Supports the execution of strategic initiatives in collaboration with internal and external stakeholders.
- Builds effective relationships with internal/external stakeholders.
- Breaks down strategic problems, and analyses data and information to provide insights and recommendations.
- 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.
- Monitoring to ensure that 1st line jobs are following defined processes and procedures.
- Develops, documents and maintains business/group procedures updating and obtaining approvals as regulations or the operating environment changes and communicates changes to the business/group & relevant stakeholder groups.
- Designs measurable sustainment strategies including assessing and recommending mitigations for industry/ segment-specific risks and prioritizing opportunities presented by internal and external stakeholders.
- Tracks exception/exemption requests and corresponding approvals.
- Facilitates training to ensure business unit employees fully understand requirements.
- Provides quality control for investigations, self-reports, examinations and independent reviews conducted by internal and external stakeholders, including regulators, providing verbal and written responses to requests for positions, action plans, information and/or documentation
- May act as the designated Primary Business Unit Compliance Officer (BUCO) and/or Anti-Money Laundering Reporting Officer for the operating group and is accountable to meet all program requirements (e.g., Operating Group Compliance Program, AML Program Framework).
- Builds awareness, knowledge, and skills and, as necessary, provides communication, practical tools and ongoing support including making presentations, to promote a culture of risk identification and management.
- Supports the management of 1st LOD program for the business/group in compliance with appropriate principles, standards & direction from the second line of defense groups. Includes developing and promoting program and ensuring the execution of all program components.
- Develops and maintains an understanding of the business/group strategies and objectives, products and services, internal and external stakeholders and business processes as well as the underlying infrastructure to identify and manage implications and risk exposures for the business/group.
- Identifies, investigates, analyzes, documents & mitigates program risks, taking into account jurisdictional issues, and raises any issues or concerns to senior leaders and other stakeholders.
- Analyzes the impact and effectiveness of the program through periodic reviews.
- Recommends adjustments to the overall program, policy or processes within the business/group in accordance with the Risk Appetite Statement, Governance and Corporate Policy.
- Supports the business/group through internal/external audits or regulatory examinations and assists in development of action plans to resolve any identified issues.
- Provides support to the development and delivery of training and awareness programs within the business/group to increase awareness of and compliance to risk management requirements.
- 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

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