Compliance Officer, Registrations

6 days ago

Toronto, Ontario, Canada BMO Full time

Job Summary

The Compliance Officer, Registrations role is a key position within the Legal, Regulatory Compliance & Procurement (LRCP) team at BMO. This role is responsible for facilitating the registration process for BMO employees whose business activities are subject to Canadian regulation.

Key Responsibilities

  • Provide high-quality advisory services and act as a point of escalation for registration-related issues and inquiries.
  • Liaise with various regulators, internal partners, and stakeholders to ensure compliance with regulatory requirements.
  • Monitor applications for potential terms and conditions relating to civil, criminal, and/or financial matters and escalate to management.
  • Prepare submissions to register salespersons, supervisors, and officers of various lines of business.
  • Prepare submissions to report material changes to regulators for existing registrants.
  • Prepare termination submissions for registered persons, including liaising with the business unit, Compliance partners, and HR.
  • Determine and advise on post-licensing and continuing education requirements and report to regulators as required.
  • Maintain various electronic records, including the National Registration Database (NRD), internal databases, and registrant files.
  • Interact with regulators on registration files on a regular basis.
  • Understand and keep current with regulatory, Bank, and department policies and procedures, with a firm understanding of regulatory deadlines.
  • Ensure operational integrity and privacy measures are maintained and safeguarded with the LOB and compliance department.

Requirements

  • Bilingual in English and French is an asset.
  • Successful completion of industry courses, such as the Canadian Securities Course, is an asset.
  • Two to three years of experience in the financial or securities industry, preferably within Registrations or a Compliance division.
  • Broad knowledge of CIRO (formerly IIROC/MFDA), CSA (National Instruments), and US (state and federal) rules, policies, and procedures.
  • Broad knowledge of Mutual Fund Dealer, Institutional, Retail, and Discount Brokerage businesses.
  • University degree or post-secondary diploma.
  • Ability to identify and analyze risks and propose steps to mitigate risks.
  • Ability to work in a high-stress, fast-paced, and changing environment.
  • Must be able to work independently.
  • Analytical skills and good judgment are extremely important.
  • Must possess excellent negotiation and listening skills.
  • Must be independent and confident enough to defend their views in an open forum.
  • Excellent interpersonal skills and strong written and verbal business communication skills.
  • Able to recognize and handle sensitive and confidential information.
  • Capable of handling multiple tasks and meeting stringent deadlines.

  • Compliance Officer, Registrations

    3 days ago

    Toronto, Ontario, Canada BMO Full time

    Job SummaryThe Compliance Officer, Registrations role is a key position within the Legal, Regulatory Compliance & Procurement (LRCP) team at BMO. This role is responsible for facilitating the registration process for BMO employees whose business activities are subject to Canadian regulation.Key ResponsibilitiesProvide high-quality service in all internal and...

  • Compliance Officer, Registrations

    3 days ago

    Toronto, Ontario, Canada BMO Full time

    Job SummaryThe Compliance Officer, Registrations role is a key position within the Legal, Regulatory Compliance & Procurement (LRCP) team at BMO. This role is responsible for facilitating the registration process for BMO employees whose business activities are subject to Canadian regulation.Key ResponsibilitiesProvide high-quality service in all internal and...

  • Compliance Officer, Registrations

    5 days ago

    Toronto, Ontario, Canada Bank of Montreal Full time

    Job SummaryWe are seeking a highly skilled Compliance Officer, Registrations to join our team at the Bank of Montreal. As a key member of our Compliance department, you will be responsible for providing advisory services and acting as a point of escalation for registration-related issues and inquiries across all registered Canadian legal entities.Key...

  • Compliance Officer, Registrations

    5 days ago

    Toronto, Ontario, Canada Bank of Montreal Full time

    Job SummaryWe are seeking a highly skilled Compliance Officer, Registrations to join our team at the Bank of Montreal. As a key member of our Compliance department, you will be responsible for providing advisory services and acting as a point of escalation for registration-related issues and inquiries across all registered Canadian legal entities.Key...

  • Associate Compliance Officer, Registrations

    5 days ago

    Toronto, Ontario, Canada BMO Full time

    Associate Compliance Officer Associate Compliance Officer BMO Financial Group is seeking a highly skilled and detail-oriented Associate Compliance Officer to join our team. As a key member of our Legal, Regulatory Compliance & Procurement (LRCP) Wealth Management Compliance team, you will play a critical role in facilitating the registration of BMO...

  • Compliance Officer, Registrations Specialist

    5 days ago

    Toronto, Ontario, Canada BMO Full time

    Job SummaryWe are seeking a highly skilled Compliance Officer, Registrations Specialist to join our team at BMO. The successful candidate will be responsible for providing advisory services and acting as a point of escalation for registration-related issues and inquiries across all registered Canadian legal entities.Key ResponsibilitiesProvide high-quality...

  • Compliance Officer, Registrations Specialist

    5 days ago

    Toronto, Ontario, Canada BMO Full time

    Job SummaryWe are seeking a highly skilled Compliance Officer, Registrations Specialist to join our team at BMO. The successful candidate will be responsible for providing advisory services and acting as a point of escalation for registration-related issues and inquiries across all registered Canadian legal entities.Key ResponsibilitiesProvide high-quality...

  • Compliance Officer, Registrations Specialist

    5 days ago

    Toronto, Ontario, Canada BMO Full time

    Job SummaryWe are seeking a highly skilled Compliance Officer, Registrations Specialist to join our team at BMO. The successful candidate will be responsible for providing advisory services and acting as a point of escalation for registration-related issues and inquiries across all registered Canadian legal entities.Key ResponsibilitiesProvide high-quality...

  • Executive Director, Registration and Compliance

    3 days ago

    Old Toronto, Ontario, Canada Canadian Investment Regulatory Organization Full time

    Job SummaryWe are seeking a highly experienced and skilled professional to lead our Registration and Compliance team as an Executive Director. The successful candidate will be responsible for providing strategic leadership and oversight of our registration function, ensuring compliance with regulatory requirements and industry standards.Key...

  • Executive Director, Registration and Compliance

    3 days ago

    Old Toronto, Ontario, Canada Canadian Investment Regulatory Organization Full time

    Job SummaryWe are seeking a highly experienced and skilled professional to lead our Registration and Compliance team as an Executive Director. The successful candidate will be responsible for providing strategic leadership and oversight of our registration function, ensuring compliance with regulatory requirements and industry standards.Key...

  • Compliance Officer

    3 days ago

    Toronto, Ontario, Canada BMO Full time

    Job SummaryBMO is seeking a highly skilled Compliance Officer to join its Control Room team. As a Compliance Officer, you will play a critical role in ensuring the firm's compliance with regulatory requirements and maintaining a strong control environment.Key ResponsibilitiesCompliance Program Execution and MonitoringCoordinate coverage over multiple...

  • Compliance Officer

    3 days ago

    Toronto, Ontario, Canada BMO Full time

    Job SummaryBMO is seeking a highly skilled Compliance Officer to join its Control Room team. As a Compliance Officer, you will play a critical role in ensuring the firm's compliance with regulatory requirements and maintaining a strong control environment.Key ResponsibilitiesCompliance Program Execution and MonitoringCoordinate coverage over multiple...

  • Chief Compliance Officer

    2 weeks ago

    Toronto, Ontario, Ontario, Canada Optimize Wealth Management Full time

    Company DescriptionOptimize Financial Group is in the process of establishing a CIRO Dealer, separate from Optimize Wealth Management, to further help individual clients achieve their financial goals. Our CIRO Dealer will offer personalized financial solutions covering financial planning, portfolio management, tax preparation, debt management, and estate...

  • Chief Compliance Officer

    2 weeks ago

    Toronto, Ontario, Ontario, Canada Optimize Wealth Management Full time

    Company DescriptionOptimize offers personalized financial solutions covering financial planning, portfolio management, tax preparation, debt management, and estate planning. Our holistic approach, independence, and personalized service set us apart in the industry, prioritizing honesty, persistence, teamwork, and excellence. Optimize Financial Group is in...

  • Registration Officer

    3 days ago

    Toronto, Ontario, Canada Scotiabank Full time

    About the RoleWe are seeking a highly skilled Registration Officer to join our team at Scotiabank. As a key member of our Registration Department, you will play a critical role in ensuring the success of our business strategies and objectives.Key ResponsibilitiesRegistration Process Management: You will be responsible for the Securities and Insurance...

  • Registration Officer

    3 days ago

    Toronto, Ontario, Canada Scotiabank Full time

    About the RoleWe are seeking a highly skilled Registration Officer to join our team at Scotiabank. As a key member of our Registration Department, you will play a critical role in ensuring the success of our business strategies and objectives.Key ResponsibilitiesRegistration Process Management: You will be responsible for the Securities and Insurance...

  • Compliance Officer

    1 week ago

    Toronto, Ontario, Canada BMO Full time

    Job SummaryBMO is seeking a highly skilled Compliance Officer to join its Control Room team. As a key member of the team, you will play a critical role in ensuring the effective management of the Firm's Insider and Proprietary information.Key ResponsibilitiesCompliance Program Execution and Monitoring (75%)Coordinate coverage over multiple jurisdictions with...

  • Compliance Officer

    6 days ago

    Toronto, Ontario, Canada BMO Full time

    Job SummaryBMO is seeking a highly skilled Compliance Officer to join its Control Room team. As a key member of the team, you will play a critical role in ensuring the effective management of the Firm's Insider and Proprietary information.Key ResponsibilitiesCompliance Program Execution and Monitoring (75%)Coordinate coverage over multiple jurisdictions with...

  • Compliance Officer

    1 week ago

    Toronto, Ontario, Canada BMO Full time

    Job SummaryBMO is seeking a highly skilled Compliance Officer to join its Control Room team. As a key member of the team, you will play a critical role in ensuring the effective management of the Firm's Insider and Proprietary information.Key ResponsibilitiesCompliance Program Execution and Monitoring (75%)Coordinate coverage over multiple jurisdictions with...

  • Compliance Officer

    7 days ago

    Toronto, Ontario, Canada TEKsystems Full time

    Job Title: Vice-President, Corporate Compliance AdvisoryRole Overview:The Vice-President, Corporate Compliance Advisory will play a critical role in managing regulatory changes and executing the compliance risk management program for the Canada Branch. This position will work closely with the Corporate Compliance team to provide expert support and advice on...