Advisor, Regulatory and Compliance

3 days ago

Toronto, Canada BMO Financial Group Full time

100 King Street West Toronto Ontario,M5X 1A1

The Advisor, Regulatory and Compliance will dually support all compliance and regulatory functions for the Customer Complaint Appeal Office and Ethics Office (together “the Office”).
- The Ethics Office is responsible promoting ethical conduct across BMO with a goal of sustaining an ethical culture based on BMO’s values. Ethics also oversees BMO's Speak Up Service and Whistleblower Process on an enterprise-wide basis.
- The Customer Complaint Appeal Office (CCAO) is third and final step in BMO’s Complaint Handling process which manages complaints that have been escalated to our office and beyond the to external complaint body (OBSI).

The advisor will interact directly with internal stakeholders and external regulatory bodies to identify, track and help implement regulatory changes facing the Office and methodically resolve compliance/ risk management challenges that range from simple day-to-day issues to highly complex business or regulatory issues. The Office operates at a fast pace with requirements for exceptional quality (being both customer and employee facing) and high expectations as such the role requires the same pace coupled with high quality execution of deliverables.

**Key Roles & Responsibilities**

**Regulatory Monitoring**_ - _**Proactively monitors regulatory requirements, proposed changes, industry trends and emerging issues. Considers potential impacts to BMO and shares insights with the team.

**Operational Risk/Compliance Risk** - Execute the Operational Nonfinancial risk (ONFR) and compliance risk framework and program requirements to mitigate risk of loss resulting from inadequate internal process, people, compliance and/or system controls.

**Process Risk & Control Library**: Support business unit’s PRC Library to ensure accuracy and completeness.

Support the annual Product/Service, Process Risk Assessment (PSPRA) for business units.

**Monitoring and Testing**_:_** Lead and execute the monitoring and testing plan for the Office to evidence that we are meeting regulatory requirements.

**Key Risk Indicators (KRI)**_:_** Support the development or expansion the business inventory of KRIs by working with stakeholder in various risk areas to enhance governance.

**Quality Assurance**_: _**Conducts quarterly quality assurance for both Ethics and CCAO to ensure controls are operating effectively. Analyzes insights and data for patterns, issues and emerging trends.

**Projects and initiatives**: Support and execute on any short/long-term compliance, audit, projects and initiatives (e.g., Regulatory/Audit Remediation) that impacts business units, as required. Participates in ad hoc projects and initiatives that require Ethics and/or CCAO engagement. Supports digital transformation and automation projects. Acts as team liaison for Risk related reporting, including the ongoing analysis of our key risk metric (KRM) and recommending updates for the annual KRM refresh.

Skills**:

- Excellent organizational skills with ability to create/execute a detailed plan for short
- and long-term work.
- Build positive stakeholder relationships within the Office and across LRCP garner support, advice and partnership that enables execution of the role.
- Communicate effectively (verbal and written) at all levels of the organization, including the most senior executives, including drafting communications and running calls and meeting. Ability to represent the Office at senior industry discussions, with regulators and internal & external auditors.
- Proactive in work and responsibility. Ongoing self-study about ethics and customer processes, emerging regulatory and industry issues, BMO business priorities, and best practices. Ability to adapt and quickly develop in-depth understanding of new/different initiatives, requirements, or roles.

**Qualifications**
- Post-secondary degree and 5+ years’ experience, Compliance, Risk, or other related fields.
- Detailed knowledge of consumer protection regulations, privacy and/or CIRO regulations and related marketing and advertising guidelines.
- Serves as a specialist resource to senior leaders and stakeholders with advanced knowledge of regulatory/ compliance requirements and the operations of a single or multiple business/groups.
- May require experience at regulatory body for one or more compliance area(s).
- Strong communication, critical thinking, relationship management and project management skills.
- Seasoned professional with a combination of education, experience and industry knowledge.
- Verbal & written communication skills - In-depth / Expert.
- Analytical and problem-solving skills - In-depth / Expert.
- Influence skills - In-depth / Expert.
- Collaboration & team skills; with a focus on cross-group collaboration - In-depth / Expert.
- Able to manage ambiguity.
- Data driven decision making - In-depth / Expert.
- Complaint handling experience (customer and/or employee) is an asset.
- Experience preparing b

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