Regulatory Compliance Analyst

3 weeks ago

Toronto, Ontario, Canada Bank of Montreal Full time $60,000 - $111,700
Role Overview: The Regulatory Compliance Analyst plays a crucial role in supporting the establishment, upkeep, and management of the Compliance framework at BMO Capital Markets in Canada.

This hybrid position is responsible for coordinating and executing risk evaluations, oversight, testing, and surveillance activities to ensure that the compliance program remains relevant and in alignment with BMO's Compliance standards.

Key Responsibilities:
  • Collaborate with various business units and internal stakeholders to ensure adherence to regulatory, corporate, and fiduciary responsibilities.
  • Provide insights to business units regarding the implications of new regulatory changes or internal offerings, assisting in the implementation of updated policies and programs.
  • Identify potential risks and implement suitable measures to mitigate them.
  • Develop and maintain compliance data for analysis and reporting purposes.
  • Achieve compliance objectives by staying informed about regulatory requirements and industry developments.
  • Maintain specialized knowledge of compliance regulations pertinent to the business unit, referring to Compliance Policies & Procedures manuals as necessary.
Impact on Business:

Contribute to the success of the business unit by offering oversight and making recommendations that significantly influence the Bank's capacity to monitor compliance programs, reduce operational risks, and align with regulatory bodies.

Advisory Role:

Provide guidance to assigned business units on implementing solutions to manage regulatory risks, based on a comprehensive understanding of business operations and stakeholder needs.

Relationship Management:

Establish effective professional relationships with business lines, internal and external stakeholders, and regulators during the initial phases of investigations.

Risk Assessment:

Conduct and/or critically evaluate risk assessments for the business unit, assisting in the identification of more effective compliance controls.

Monitoring and Testing:

Perform and/or critically assess monitoring and testing activities to ensure compliance controls are functioning and aligned with regulatory standards.

Root Cause Analysis:

Support root cause analysis in response to significant control failures within the business unit.

Reporting:

Analyze and report compliance data to Compliance and business unit management.

Emerging Risks:

Provide insights to the business unit on emerging risks, regulatory changes, and the interpretation of regulations.

Consultation:

Advise first line of defense management and staff on compliance issues.

Training Development:

Identify training needs and assist in developing training programs based on gaps identified through compliance monitoring and testing.

Process Enhancements:

Identify improvements to compliance tools and processes within the business unit and communicate these to relevant stakeholders.

Regulatory Representation:

Represent the business unit's Compliance team and engage with examiners/auditors during internal, external, and regulatory audits.

Sales and Marketing Compliance:

Provide a regulatory perspective on the business unit's sales and marketing materials.

Risk Analysis:

Anticipate, identify, and analyze risks and the consequences of unaddressed compliance gaps, recommending appropriate controls.

Work Environment:

Operate effectively in a high-pressure environment with constantly evolving expectations and regulatory scrutiny.

Data Monitoring:

Access, monitor, and report on sensitive Bank, customer, transactional, and employee information to ensure compliance with regulatory standards.

Three Lines of Defense:

Communicate the roles and significance of each of the three lines of defense, proactively identifying regulatory risks.

Qualifications:

Typically requires 5 years of relevant experience and a post-secondary degree in a related field or an equivalent combination of education and experience. A recognized compliance certification or equivalent is preferred.

Demonstrated proficiency in a compliance field, strong understanding of business operations and procedures, and effective communication, critical thinking, relationship management, and project management skills are essential.

Technical proficiency acquired through education and/or professional experience is also required.

BMO Financial Group offers a comprehensive compensation package that may include performance-based incentives, discretionary bonuses, and additional benefits.

Commitment to Diversity: BMO is dedicated to fostering growth and creating positive change for our customers, communities, and employees. Accommodations are available upon request for candidates participating in all aspects of the selection process.

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