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Compliance Manager, Business Governance, Wealth Management

2 months ago

Toronto, Ontario, Canada BMO Full time
Job Description

Job Title: Compliance Manager, Business Governance, Wealth Management

Job Summary:

We are seeking a highly skilled Compliance Manager to join our team at BMO. The successful candidate will be responsible for providing regulatory compliance advice and direction to our Wealth businesses. This role will interpret regulations, provide advice on the application of regulatory requirements to business processes and controls, and serve as the designated subject matter expert for 1st Line compliance supporting the business.

Key Responsibilities:

  • Provide regulatory compliance advice and direction to our Wealth businesses.
  • Interpret regulations and provide advice on the application of regulatory requirements to business processes and controls.
  • Serve as the designated subject matter expert for 1st Line compliance supporting the business.
  • Lead and support the implementation and execution of the Enterprise Compliance Program (ECP), advising LOB management on implications of new/changing regulatory requirements on business products, processes, and controls.
  • Work with business/group leaders, 2nd Line Compliance, and Legal to implement and maintain 1st Line compliance programs to meet the requirements of BMO's ECP.
  • Manage/support large/complex compliance programs/frameworks/projects/initiatives to ensure compliance risks are appropriately identified, risk assessed, mitigated, and regulations adhered to.
  • Execute some compliance-related controls on behalf of the business.
  • Develop and maintain an in-depth understanding of the businesses, the ECP, and applicable regulatory requirements, and developing/emerging regulatory requirements.
  • Support business leaders in the effective implementation, maintenance, and administration of 1st Line compliance programs.
  • Maintain an inventory of regulations and associated controls in GRCE (Compliance book of record) to ensure the completeness of the regulations mapped to the business and ensure controls to support regulatory compliance are documented and appropriately risk assessed such that they can be tested by the Monitoring & Testing Team.
  • Develop and maintain an understanding of the business/group strategies and objectives, products and services, internal and external stakeholders, and business processes as well as the underlying technology infrastructure to identify and manage compliance risk exposures for the business/group.
  • Participate in discussions with relevant stakeholders to review, edit, and approve changes to policies, processes, procedures, controls, and technology needs to ensure they comply with regulatory developments/requirements.
  • Build change management plans of varying scope and type; lead or participate in a variety of change management activities including regulatory readiness assessments, planning, stakeholder management, execution, evaluation, and sustainment of initiatives.
  • Complete supplier compliance risk assessments.
  • Collaborate and maintain positive relationships with individuals across the business.
  • Identify, investigate, analyze, document, and establish plans to mitigate program risks, considering jurisdictional/provincial requirements, issues, and raise any issues or concerns to senior leaders and other stakeholders.
  • Break down strategic problems, and analyze data and information to provide insights and recommendations.
  • Support the business on regulatory compliance issues.
  • Identify issues: interpreting requirements (existing, new, and emerging) and identifying, analyzing, and addressing resultant gaps and issues, including those raised through the review of change initiatives.
  • Develop/Assess Action Plans: work with the business to establish/review action plans to ensure plans have sufficient level of detail and target dates are reasonable and supportable.
  • Monitor Remediation: oversee and/or monitor the satisfactory resolution of such complex, contentious, or sensitive regulatory compliance issues, keeping in mind significant business unit implications.
  • Report to Senior Management: provide regular updates to senior management in the business on the progress of remediation.
  • Accountable for leading the annual and trigger-based Regulatory Compliance Risk Assessment (RCRA) which encompasses the principles, accountabilities, expected outcomes, processes, and procedures for the identification and assessment of Regulatory Risk across the Enterprise.
  • Document rationales to support risk assessments and discuss/respond/address questions/challenge raised by 2nd Line oversight functions.
  • Separate risk assessments are required for: Volcker, Privacy, Anti-Corruption, and all other remaining regulations.
  • Provide compliance feedback on policies owned by the business: act as a subject matter expert in the evaluation, development, and implementation of a compliance internal control system.
  • Participate in the regular cyclical review of policies that contain and/or address regulatory requirements.
  • Maintain the COI Log: initiate an annual review by engaging key stakeholders (Business, Tier 2 Compliance, 2nd Line Compliance, and Legal) to review and confirm accuracy.
  • Understand and assess business and regulatory change in order to identify and assess new and/or changing conflicts of interest for materiality, outside of the regular annual review, and engage the appropriate stakeholders, along with Legal Regulatory Compliance (LRC) to update the COI Log accordingly.
  • Make recommendations and provide solutions and enhancements to existing practices to keep pace with regulatory changes and provide requisite support in the implementation of regulatory change initiatives.
  • Understand, assess, and monitor industry and regulatory/legislative developments and continuously update compliance programs to ensure they continue to be effective.
  • Analyze new and pending laws, regulations, and industry commitments that affect areas of business responsibility ensuring that relevant issues and organizational risks are identified and raised.
  • Conduct and document impact assessments for new regulatory requirements and communicate conclusions to the business, 2nd Line Compliance, and Legal.
  • Participate in regulatory development project meetings as required.
  • Attend industry association meetings on Compliance-related matters.
  • Provide support to the development and delivery of compliance training and awareness programs within the business/group to increase awareness of and compliance to risk management requirements.
  • Provide training to ensure business unit employees fully understand regulatory requirements and associated controls.
  • Build awareness, knowledge, and skills and, as necessary, provide communication, practical tools, and ongoing support including making presentations – attend and communicate changes at national calls.
  • Provide support for compliance-related information requests associated with investigations, reviews, or examinations conducted by internal and external stakeholders, including regulators, providing verbal and written responses to requests for information and/or documentation.
  • Meet with reviewers to execute walkthroughs of key processes/controls and answer questions.

Requirements:

  • Typically, between 5 - 7 years of relevant experience (i.e., Broker Dealer, Self-Directed Investing) and post-secondary degree in related field of study or an equivalent combination of education and experience.
  • Specific education/designation/experience that would be an asset: Canadian Securities Courses.
  • Expert verbal and written communication skills.
  • Expert presentation skills.
  • Consulting, analytical, and technical support skills.
  • Builds effective relationships with internal senior stakeholders.
  • Breaks down strategic problems, and analyzes data and information to provide insights and compliance-related recommendations.
  • Exercises judgment to identify, diagnose, and solve problems within given rules.
  • Ability to demonstrate effective use of judgment, interpretation, knowledge, and skill in the application of regulations and compliance requirements.
  • Works independently and regularly handles non-routine situations.
  • Program management skills - In-depth.
  • Ability to multi-task and prioritize deliverables and time management.
  • Deep knowledge and technical proficiency gained through extensive education and business experience.
  • Collaboration and teamwork skills - In-depth.
  • Influence skills - In-depth.
  • Motivated individual who takes initiative and accepts personal accountability.
  • Working knowledge of information technology tools required including MS Office.