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Financial Controls Compliance Specialist

2 months ago

Toronto, Ontario, Canada Bank of Montreal Full time
Compliance Testing and Financial Risk Management Expert

We are seeking a skilled Compliance Testing and Financial Risk Management Expert to join our team at the Bank of Montreal. In this role, you will be responsible for delivering high-quality testing plans and executing them in accordance with the Enterprise Compliance Program and Operational Non-Financial Risk Framework.

About the Role

This is a full-time position based in Toronto, ON, Canada. The ideal candidate will have 7+ years' experience in compliance, control testing, or audit roles, preferably in a dealer and/or portfolio management environment. You will be expected to work closely with various stakeholders, including management, to communicate identified issues and provide recommendations to mitigate exposures and risks.

Key Responsibilities:
  1. Design and implement specific monitoring and testing procedures for each applicable area of review, which may include the development of new monitoring and testing scripts.
  2. Execute the 1LOD testing program for the Wealth LOBs and document results and outcomes as required.
  3. Understand controls that support regulatory compliance and manage other sources of ONFR.
  4. Communicate M&T identified issues to the businesses, 1LOD Compliance Advisory, 2LOD Compliance, and 2LOD Risk.
  5. Raise compliance and control-related awareness with the businesses and provide appropriate advice and guidance to mitigate exposures and risks.
  6. Prepare reports and related test results dashboard for various stakeholders including management.
Qualifications and Experience:
  1. 7+ years' experience in a compliance, control testing, or audit role ideally in a dealer and/or portfolio management environment.
  2. Excellent data analysis, organizational, analytical, and communication skills.
  3. Exhibit strong planning skills.
  4. Familiarity with Wealth regulatory requirements.
  5. Experience in the planning and execution of testing.
  6. Understanding of risk and controls.
Salary and Benefits:

The salary range for this position is estimated to be between $80,000 and $120,000 per year, depending on experience and qualifications. BMO Financial Group offers a comprehensive benefits package, performance-based incentives, and discretionary bonuses. Our company values diversity, equity, and inclusion and welcomes applicants from diverse backgrounds.