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Compliance Specialist

2 months ago

Toronto, Ontario, Canada BMO Full time
Job Description

Job Title: Compliance Specialist

Job Summary:

We are seeking a highly skilled Compliance Specialist to join our team at BMO. The successful candidate will be responsible for providing regulatory compliance advice and direction to our Wealth businesses. This role will interpret regulations, provide advice on the application of regulatory requirements to business processes and controls, and serve as the designated subject matter expert for 1st Line compliance supporting the business.

Key Responsibilities:
  • Regulatory Compliance Advice: Provide regulatory compliance advice and direction to our Wealth businesses, interpreting regulations and providing advice on the application of regulatory requirements to business processes and controls.
  • Compliance Program Management: Manage and execute the personal trade monitoring program, including onboarding and offboarding access persons to the Personal Trading Application (PTA), reviewing pre-clearance trade submissions and breaches, and providing quarterly reporting to the Chief Compliance Officer (CCO) on violations and trading volumes.
  • Regulatory Risk Assessment: Lead the annual and trigger-based Regulatory Compliance Risk Assessment (RCRA), which encompasses the principles, accountabilities, expected outcomes, processes, and procedures for the identification and assessment of Regulatory Risk across the Enterprise.
  • Compliance Policy and Procedure Support: Provide compliance feedback on policies owned by the business, act as a subject matter expert in the evaluation, development, and implementation of a compliance internal control system, and participate in the regular cyclical review of policies that contain and/or address regulatory requirements.
  • Conflicts of Interest: Maintain the COI Log, initiate an annual review by engaging key stakeholders, and understand and assess business and regulatory change to identify and assess new and/or changing conflicts for materiality.
  • Regulatory Development: Understand, assess, and monitor industry and regulatory/legislative developments, continuously update compliance programs to ensure they continue to be effective, and analyze new and pending laws, regulations, and industry commitments that affect areas of business responsibility.
  • Compliance Training: Provide support to the development and delivery of compliance training and awareness programs within the business/group to increase awareness of and compliance to risk management requirements.
  • Compliance Review Support: Provide support for compliance-related information requests associated with investigations, reviews, or examinations conducted by internal and external stakeholders, including regulators, and meet with reviewers to execute walkthroughs of key processes/controls and answer questions.
Requirements:
  • Education: Typically, between 5 - 7 years of relevant experience and a post-secondary degree in a related field of study or an equivalent combination of education and experience.
  • Experience: Relevant experience in investment fund management/dealer and post-secondary degree in a related field of study or an equivalent combination of education and experience.
  • Skills: Expert verbal and written communication skills, expert presentation skills, consulting, analytical, and technical support skills, and ability to demonstrate effective use of judgment, interpretation, knowledge, and skill in the application of regulations and compliance requirements.
What We Offer:

We offer a competitive salary range of $68,000.00 - $126,000.00, a comprehensive benefits package, and opportunities for professional growth and development.