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Compliance Officer

2 months ago

Toronto, Ontario, Canada BMO Full time
Job Summary

BMO is seeking a highly skilled Compliance Officer to join its Control Room team. As a key member of the team, you will be responsible for ensuring the effective management of the Firm's Insider and Proprietary information.

Key Responsibilities
  • Monitor and enforce information barriers between public and private sides of the business.
  • Assist with the development of policies, procedures, reporting, and surveillance to ensure the effective practices to contain sensitive or material non-public information.
  • Provide advisory services on compliance matters to LOB management and staff in support of BMO's Investment Banking and Research businesses.
  • Execute appropriate testing and analyze key performance indicators to ensure requirements of Capital Markets policies and programs are maintained at a level commensurate with regulatory expectations.
Requirements
  • Bachelor's degree.
  • 1-2 years of experience in a related field, preferably in Control Room or with product knowledge or research.
  • Background in trading surveillance and/or email surveillance is an asset but not required.
  • Some understanding of securities rules and regulations with respect to Research; (specifically FINRA Rule 2241, 2242, IIROC rule 3400, and OSC).
  • Strong communication, critical thinking, relationship management, and project management skills.
What We Offer

BMO offers a competitive salary and a comprehensive benefits package, including health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans.