Director of Regulatory Compliance

3 days ago


Toronto, Ontario, Canada Bank of Montreal Full time
Director of Regulatory Compliance

We are seeking a highly skilled Director of Regulatory Compliance to join our team at the Bank of Montreal.

This role will be responsible for leading the implementation and maintenance of first line of defense (1LOD) programs, collaborating with second and third line functions to ensure compliance and operational risks are identified, mitigated, and reported on an ongoing basis.

Key Responsibilities:

  • Manage internal audit and regulatory projects/initiatives.
  • Support business groups through management of internal/external audits or regulatory examinations and assist in development of action plans to resolve any identified issues.
  • Provide quality control for investigations, self-reports, examinations, and independent reviews conducted by internal and external stakeholders.
  • Prepare and brief senior leaders on regulatory matters across multiple business groups.
  • Act as a subject matter expert on relevant regulations and policies.
  • Support multiple business units with moderate complexity and business transaction risk.
  • Act as a subject matter expert in the evaluation, development, and implementation of an internal control system.
  • Network with industry contacts to gain competitive insights and best practices.
  • Conduct independent analysis and assessment to resolve strategic issues.
  • Break down strategic problems and analyze data and information to provide insights and recommendations.
  • Monitor and track performance and address any issues.
  • Track audit and regulatory requests and corresponding approvals.
  • Build awareness, knowledge, and skills and provide communication, practical tools, and ongoing support to promote a culture of risk identification and management.
  • Support the management of 1LOD program for business groups in compliance with appropriate principles, standards, and direction from second line of defense groups.
  • Develop and maintain an understanding of business group strategies and objectives, products, and services, internal and external stakeholders, and business processes as well as the underlying infrastructure to identify and manage implications and risk exposures for business groups.
  • Operate at a group/enterprise-wide level and serve as a specialist resource to senior leaders and stakeholders.
  • Implement changes in response to shifting trends.

Requirements:

  • Typically 5+ years of relevant experience and post-secondary degree in a related field of study or an equivalent combination of education and experience.
  • Project Management skills - Expert.
  • Able to manage ambiguity.
  • Data-driven decision making - In-depth / Expert.

Compensation Package:

The total compensation package for this role is estimated to be in the range of $120,000 - $180,000 per annum, depending on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards.

The Bank of Montreal offers a comprehensive benefits package including health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans.



  • Toronto, Ontario, Canada Royal Bank of Canada Full time

    We are seeking a highly skilled Regulatory Compliance Director to join our team at the Royal Bank of Canada. In this role, you will be responsible for ensuring that our bank's regulatory capital compliance processes are efficient and effective.


  • Toronto, Ontario, Canada Royal Bank of Canada Full time

    Job Overview:We are seeking an experienced Senior Quality Assurance Director to lead our Regulatory Compliance team at Royal Bank of Canada. This is a unique opportunity to join a leading financial institution and contribute to the development of our compliance program.Key Responsibilities: Lead the development and implementation of our quality assurance...


  • Toronto, Ontario, Canada VirgoCX Full time

    About VirgoCXVirgoCX is a Canadian-based cryptocurrency trading platform, dedicated to making crypto trading safe, easy, and affordable for Canadians. Founded in 2018, the company has expanded its business presence in Australia, the U.S., and plans to further grow globally.At VirgoCX, our mission is to provide easy and affordable access for all clients to...


  • Toronto, Ontario, Canada Royal Bank of Canada Full time

    At Royal Bank of Canada, we're seeking an exceptional Compliance Specialist to join our team. This role is a key part of our Compliance program, responsible for implementing and maintaining regulatory compliance across the organization.About the OpportunityThis is a full-time position in Toronto, Canada, offering a competitive salary range of $120,000 -...


  • Toronto, Ontario, Canada City of Toronto Full time

    About the RoleWe are seeking an experienced Senior Regulatory Compliance Manager to join our team at the City of Toronto.Job SummaryThe successful candidate will be responsible for leading and overseeing the development and implementation of data-informed, risk-based audit techniques, procedures, and programs to monitor compliance of licensees and...


  • Toronto, Ontario, Canada Société Financière Manuvie Full time

    As a forward-thinking bank and trust company, Manulife Bank is committed to upholding the highest standards of regulatory compliance. We are seeking an experienced Compliance Specialist, Regulatory Compliance to join our team in Toronto, Ontario.The successful candidate will play a critical role in supporting the effective operation of our regulatory...


  • Toronto, Ontario, Canada PearTree Canada Full time

    Compliance Associate RoleWe are seeking a detail-oriented and organized Regulatory Compliance Professional to join our team at PearTree Canada. This role will be responsible for ensuring that our business operations comply with all relevant laws and regulations.The successful candidate will have a minimum of 3 years of experience working in compliance or a...


  • Toronto, Ontario, Canada mccainfood Full time

    About the RoleWe are seeking a highly skilled Regulatory Compliance Expert to join our team at McCain Foods. This is a full-time position located in Toronto HQ or Florenceville-Bristol, New Brunswick, Canada.Job Summary:The Regulatory Compliance Expert will be responsible for ensuring regulatory compliance of our products in the Canadian market. This...


  • Toronto, Ontario, Canada Royal Bank of Canada Full time

    Job Overview:Royal Bank of Canada (RBC) is seeking a highly skilled Financial Regulatory Compliance Expert to join our Enterprise Risk, Regulatory Capital Governance & Oversight team. This key role will play a crucial part in the efficient management and coordination of RBC's annual Self-Assessment Process (SAP).About the Role:The successful candidate will...


  • Toronto, Ontario, Canada Momentum Financial Services Group Full time

    Job DescriptionWe are seeking a highly skilled Director of Compliance to join our Legal Group at Momentum Financial Services Group.The successful candidate will be responsible for developing, enhancing, implementing, and maintaining key areas of the regulatory compliance management program. This includes consumer protection and privacy, ensuring we meet the...


  • Toronto, Ontario, Canada PearTree Canada Full time

    Overview:PearTree Canada is a reputable financial services firm committed to delivering excellent client experiences while adhering to regulatory standards.About the Position:This challenging role requires an experienced professional with expertise in regulatory compliance to ensure our business practices align with applicable laws and regulations.Key...

  • Compliance Director

    2 weeks ago


    Toronto, Ontario, Canada EQ Bank | Equitable Bank Full time

    The Senior Manager, Quality Management role at EQ Bank | Equitable Bank is a high-profile position that demands exceptional leadership skills, strategic thinking, and regulatory expertise. As the subject matter expert in business and market conduct regulatory compliance requirements, you will provide critical advisory services to various stakeholders across...


  • Toronto, Ontario, Canada PearTree Canada Full time

    The Regulatory Compliance Specialist role at PearTree Canada is a key position that requires a deep understanding of securities regulatory compliance. With a strong focus on maintaining the firm's dealer registration and ensuring business operations adhere to relevant legal and internal rules, this individual will play a crucial part in upholding the...


  • Toronto, Ontario, Canada Royal Bank of Canada Full time

    Royal Bank of Canada is seeking a highly skilled Director of Risk Management and Compliance to join our team. As a key member of our organization, you will play a critical role in ensuring the integrity of our operations and maintaining the trust of our clients.About the RoleThis is an exceptional opportunity for a seasoned professional with expertise in...


  • Toronto, Ontario, Canada PearTree Canada Full time

    Job SummaryWe are seeking a highly skilled Regulatory Compliance Expert to join our team at PearTree Canada.About the RoleThe successful candidate will be responsible for maintaining and updating new client account application and KYC forms as required, preparing trade approval forms for compliance sign-off, and liaising with Client Service and Business...


  • Toronto, Ontario, Canada WP Osborne Executive Search Inc. Full time

    At WP Osborne Executive Search Inc., we are partnering with Starlight Investments to find a highly skilled Compliance Program Director. This role will play a critical part in ensuring our organization meets the highest standards of compliance and ethical conduct.About the RoleThe successful candidate will report directly to the VP of Risk Advisory and...


  • Toronto, Ontario, Canada Tata Consultancy Services Full time

    Job Description:Tata Consultancy Services, a leading IT services company, is seeking a highly skilled Regulatory Compliance Specialist to join our team.About Us:TCS is an equal opportunity employer that values diversity and inclusivity. Our commitment to culture and diversity is reflected in our people stories across our workforce, implemented through...


  • Toronto, Ontario, Canada Ontario Public Service Full time

    We are seeking a highly motivated Regulatory Compliance Specialist to join our team at the Ontario Public Service. This is an exciting opportunity to work with a dynamic team that is dedicated to protecting consumers and promoting business compliance.


  • Toronto, Ontario, Canada Liberty Mutual Canada Full time

    Job Summary:We are seeking a highly skilled Regulatory Compliance Specialist to join our team at Liberty Mutual Canada. This role will be responsible for ensuring the entities' compliance with regulatory and tax reporting requirements.Key Responsibilities:Lead and support end-to-end process for regulatory returns, including liaison with other business...


  • Toronto, Ontario, Canada CI Financial Full time

    Job DescriptionAt CI Financial, we offer a unique work environment that values employee growth and development.Job OverviewThis role is part of the Enterprise Compliance Team, responsible for developing, enhancing, and maintaining our Enterprise Compliance programs. Key responsibilities include reporting, data analysis, regulatory compliance management, and...