Senior Compliance Specialist

4 weeks ago

Toronto, Ontario, Canada BMO Full time
Job Summary

We are seeking a highly skilled Senior Compliance Specialist to join our team at BMO. The successful candidate will be responsible for delivering on components of the 1LOD testing plans for Wealth LOBs in accordance with the Enterprise Compliance Program and Operational Non-Financial Risk Framework.

Key Responsibilities
  • Execute the 1LOD testing program for the Wealth LOBs and documenting results, outcomes as required.
  • Understand Enterprise Compliance Program and Operational Non-Financial Risk methodology.
  • Design and implement specific monitoring and testing procedures for each applicable area of review.
  • Communicate M&T identified issues to the businesses, 1LOD Compliance Advisory, 2LOD Compliance, 2LOD Risk.
  • Raise compliance and control related awareness with the businesses and provide appropriate advice and guidance to mitigate exposures and risk.
  • Identify opportunities to improve the effectiveness of testing.
  • Act as a liaison and compliance support to various internal business partners across the Wealth Management businesses.
  • Prepare reports and related test results dashboard for various stakeholders including management.
Requirements
  • 7+ years' experience in a compliance, control testing, or audit role ideally in a dealer and/or portfolio management environment.
  • Knowledge and understanding of IIROC rules and regulations applicable to dealer representatives and OSC rules applicable to portfolio managers and investment fund managers.
  • Excellent data analysis skills, organizational, analytical and communication skills.
  • Exhibit strong planning skills.
  • Successful completion of the Canadian Securities Course is preferred.
  • Working knowledge of information technology tools required including: MS Excel, MS Word and portfolio management or investment industry software.
  • Ability to demonstrate effective use of judgment, interpretation, knowledge and skill in the application of regulations and compliance requirements.
  • Ability to independently deliver on complex assignments with competing deadlines.
  • Excellent interpersonal skills and strong written and verbal business communication skills.
  • Familiarity with Wealth regulatory requirements (e.g. OSC, IIROC, SEC, OCC, etc.).
  • Familiarity with Investment Funds (key regulations include NI 81-102, 81-107, etc.).
  • Experience in the planning and execution of testing (e.g. Audit, OSFI E-13, etc.).
  • Understanding of risk and controls.
What We Offer

BMO offers a competitive salary range of $68,000.00 - $126,000.00, a salaried pay type, and a comprehensive total compensation package that includes performance-based incentives, discretionary bonuses, and other perks and rewards. We also offer health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans.

To learn more about our benefits, please visit our website.

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