Lead Compliance Strategist

4 weeks ago

Kingston NS, Canada BMO Financial Group Full time $74,800 - $138,600

Position Overview: As a Lead Compliance Strategist at BMO Financial Group, you will play a pivotal role in the establishment and maintenance of a robust compliance framework. Your expertise will be essential in ensuring that our operations align with regulatory standards and internal policies.

Key Responsibilities:

  • Facilitate the implementation and administration of a precise compliance program.
  • Coordinate and conduct risk assessments, controls, audits, and monitoring activities to ensure ongoing compliance.
  • Collaborate with business units and internal partners to meet regulatory obligations and fiduciary responsibilities.
  • Advise on new products and regulatory changes, assisting in the development of updated policies and programs.
  • Identify risks and implement appropriate mitigation strategies.
  • Maintain and produce compliance information for analysis and reporting purposes.
  • Stay informed on regulatory requirements and changes to ensure compliance objectives are met.
  • Provide guidance to business units regarding risk appetite and compliance solutions tailored to operational needs.
  • Offer insights on new products, services, and automated systems to integrate compliance requirements effectively.
  • Utilize your influence to establish regulatory compliance controls that support business objectives.
  • Identify emerging trends and issues, providing strategic advice to inform decision-making.
  • Engage in business prioritization and strategy execution for the assigned business unit.
  • Build effective relationships with internal and external stakeholders, including regulatory bodies.
  • Analyze compliance data and related information to enhance understanding of regulatory risks.
  • Oversee the development and updating of guidelines and procedures, providing necessary guidance.
  • Participate in the design, implementation, and management of key business processes.
  • Conduct risk evaluations for the business unit, targeting more effective compliance controls.
  • Engage in monitoring and auditing activities to ensure compliance controls are functioning as required.
  • Support root cause analysis in cases of significant control failures.
  • Identify issues, assess them critically, and oversee their resolution, including managing corrective action plans.
  • Communicate significant issues or risks to the Compliance team and business unit leadership for prompt resolution.
  • Analyze compliance information and report findings to the Compliance team and business unit leadership.
  • Develop a comprehensive understanding of applicable regulations and guidelines.
  • Provide feedback on emerging risks, regulatory assessments, and interpretation of regulations.
  • Establish professional relationships within the business unit and across the organization.
  • Operate effectively in a dynamic environment with evolving expectations and increased regulatory scrutiny.
  • Access sensitive information regarding the organization, clients, transactions, and employees, ensuring compliance with regulatory requirements.
  • Communicate the importance of compliance controls and identify regulatory risks proactively.
  • Focus primarily on a specific business unit while maintaining a broader organizational perspective as needed.
  • Deliver specialized advice, analytical support, and technical assistance.
  • Exercise sound judgment in identifying and resolving issues within established parameters.
  • Work independently and manage non-standard situations effectively.
  • Additional responsibilities may be assigned as necessary.

Qualifications:

  • Typically requires a minimum of six years of relevant professional experience with a post-secondary degree in a related field, or an equivalent combination of education and experience.
  • A recognized compliance certification or equivalent is an asset.
  • In-depth knowledge of consumer protection regulations and related marketing and advertising guidelines.
  • Specialized understanding of regulatory compliance requirements and activities within a specific client group.
  • Experience in one or more compliance areas within a regulatory body may be required.
  • Strong communication, relationship management, and project management skills, along with critical thinking abilities.
  • Technical knowledge and expertise acquired through significant education or work experience.
  • Advanced oral and written communication skills.
  • Proficient collaboration and teamwork skills.
  • Strong analytical and problem-solving capabilities.
  • Ability to influence and make data-driven decisions.

Compensation: The salary range for this position is competitive and will vary based on factors such as location, skills, experience, education, and qualifications.

Benefits: BMO offers a comprehensive benefits package, including health insurance, tuition reimbursement, life insurance, and retirement savings plans. For more information on our benefits, please visit our website.

Company Culture: At BMO, we are driven by a common purpose: to have the courage to make a difference in the lives of our clients, communities, and people. We strive to create positive and lasting changes through collaboration, innovation, and pushing boundaries.

Inclusivity Commitment: BMO is committed to providing an inclusive, equitable, and accessible workplace. We learn from our differences and draw strength from diverse perspectives. Accommodations are available upon request for candidates participating in all aspects of the selection process.

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