Compliance Officer, Registrations Support

Adresse:
100 King Street West

Groupe de famille d'emploi:
Audit, risques et conformité

**ACCOUNTABILITIES**
- Responsible for administrative functions such as creating reports and trackers and reviewing current processes in these areas for greater efficiency
- Organize shared folders and other internal databases where confidential information is held
- Creating, editing, and improving currently used Registrations forms for ease of use, better clarity, and improved efficiency
- Work with internal partners such as HR, Legal, and business units on process improvement strategies
- Assist the Continuing Education team with tracking and reporting on CE completion status for registered individuals
- Assist management as a representative for technology related initiatives, business meetings, and any other special projects
- Develop, maintain, and implement changes to registration policies & procedures to ensure the firm’s compliance program keeps pace with applicable regulatory developments
- Keep abreast of regulatory developments with respect to Registrations and implement new processes or amend current ones to ensure requirements are being met
- Attain, review, and draft terminations for cause for internal review and filing with the regulator
- Work on ad hoc initiatives
- Accept reassignment of job tasks as necessary
- Provide advice and guidance to Branches, Lines of Business, HR, Learning, and Corporate Secretaries Offices on related registration matters
- Partner with Finance, Legal, Branches, and other departments to ensure a variety of regulatory filings are made within prescribed timelines
- Ensure operational integrity and privacy measures are maintained and safeguarded with the LOB and compliance department
- Regular interaction with the provincial regulators, MFDA, IIROC, and/or Insurance Councils.
- Escalation Process - The Compliance Officer may escalate to the Manager, Registrations or to the CCO as required
- The Compliance Officer will interact with senior management of the organization and external regulatory officials which will require exceptional communication and negotiation skills to advance the incumbent’s original thoughts and ideas

**Knowledge & Skills**
- Strong office skills especially in using Microsoft Excel and Adobe products
- Successful completion of industry courses is an asset
- Three to five years experience in Registrations or Compliance or financial industry
- Broad knowledge of registration related rules, instruments, and policies
- Fluency in French an asset
- 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
- 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

BMOLRC

**Ici, pour vous.**

À BMO, nous sommes animés par une raison d’être commune : Avoir le cran de faire une différence dans la vie, comme en affaires. Cette raison d’être nous invite à entraîner des changements positifs et durables pour nos clients, nos collectivités et nos gens. En travaillant ensemble, en innovant et en repoussant les limites, nous transformons des vies et des entreprises et favorisons la croissance économique partout dans le monde.

En tant que membre de l'équipe de BMO, vous êtes valorisé, respecté et entendu, et vous avez plus de moyens pour progresser et obtenir des résultats. Nous nous efforçons de vous aider à obtenir des résultats dès le premier jour, pour vous-même et nos clients. Nous vous offrirons les outils et les ressources dont vous avez besoin pour franchir de nouvelles étapes, car vous aidez nos clients à franchir les leurs. Au moyen de formation et de coaching approfondis ainsi que de soutien de la direction et d'occasions de réseautage, nous vous aiderons à acquérir une expérience enrichissante et à élargir votre groupe de compétences.