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The Senior Compliance Officer, Capital Markets Compliance Program Governance is a key member of the Capital Markets (CM) Compliance team, reporting to the Director, Capital Markets Compliance. This role is responsible for the oversight, execution, and continuous improvement of the Enterprise Compliance Program (ECP) and Operational Non-Financial Risk (ONFR) frameworks within the Capital Markets business. The successful candidate will possess strong capital markets knowledge, enabling them to understand business activities, assess the practical impacts of compliance requirements, and provide effective challenge and guidance to stakeholders.

The role requires a highly independent individual who can own program governance end-to-end, interpret regulatory and enterprise expectations (including requirements arising from OSFI Guideline E-13), and translate them into clear, actionable procedures, reporting, and guidance for the CM Compliance unit. The Senior Compliance Officer must demonstrate strong stakeholder management skills, proactively collaborate across functions before making decisions that impact other groups, and leverage technology and data analytics to develop reporting and insights that support effective program oversight.

Key Accountabilities

• Lead the governance, execution, monitoring, and continuous enhancement of the Capital Markets Compliance Program, including ECP and ONFR requirements.
• Interpret and operationalize enterprise and regulatory expectations, including OSFI Guideline E-13, into practical processes, procedures, and controls.
• Build, maintain, and enhance reporting, dashboards, metrics, and management information to support effective program oversight and decision-making.
• Serve as a trusted advisor to Capital Markets stakeholders by communicating program requirements, impacts, risks, and remediation expectations in a clear and business-focused manner.
• Coordinate with Compliance, Risk, Audit, Technology, and business partners to ensure alignment on program decisions, issues, and priorities.
• Provide effective challenge and guidance to stakeholders by leveraging a strong understanding of Capital Markets products, activities, and operating models.
• Identify governance, control, and compliance gaps and drive timely resolution through appropriate action plans and stakeholder engagement.

Other ancillary duties (10%)

The incumbent may be requested to assist in other departmental and administrative functions including:

• Data entry
• Distributes regulatory circulars, notices and communications to impacted Compliance groups.
• Assist with reviewing and tracking new product initiatives.
• Preparation of Management reports and Regulatory filings
• Manage the supplier relationship management program for the unit.
• Provide support for emerging regulatory requirements or other situational events as they occur

Qualifications:

Must-have:

• Exceptional organizational skills with a proven ability to prioritize tasks and manage tight deadlines.
• Typically between 3 - 5 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience.
• Knowledge of Canadian regulatory environment and securities regulations as it relates to Capital Markets.
• Knowledge of the OSFI E-13 requirements and its impacts.
• Ability to maintain a high level of attention and work under pressure while handling multiple requests.
• Comfort using technology applications in a financial setting.
• Knowledge of Microsoft Office suite including Excel, and PowerPoint.
• Clear and concise communication.
• Discretion and integrity.
• Inquisitive mindset.

Nice-to-have:

• Knowledge of Excel Functions, VBA, SQL, and Python.
• Proficiency with PowerBI and other data visualization tools.
• Knowledge of sales, trading or back-office processes and systems in broker dealer environment would be an asset, including front-office and back-office applications (Broadridge ADP, Fidessa, etc.).
• Knowledge of equities, fixed Income and listed derivative products and trading would be an asset.

Once in role, the incumbent will be expected to develop an understanding of business products and processes to enhance their contribution to the Compliance program.

The above represents BMO Financial Group’s pay range and type.

Salaries will vary based on factors such as location, skills, experience, education, and qualifications for the role, and may include a commission structure. Salaries for part-time roles will be pro-rated based on number of hours regularly worked. For commission roles, the salary listed above represents BMO Financial Group’s expected target for the first year in this position.

BMO Financial Group’s total compensation package will vary based on the pay type of the position and may include performance-based incentives, discretionary bonuses, as well as other perks and rewards. BMO also offers health insurance, tuition reimbursement, accident and life insurance, and retirement savings plans. To view more details of our benefits, please visit: https://jobs.bmo.com/global/en/Total-Rewards

About Us

At BMO we are driven by a shared Purpose: Boldly Grow the Good in business and life. It calls on us to create lasting, positive change for our customers, our communities and our people. By working together, innovating and pushing boundaries, we transform lives and businesses, and power economic growth around the world.

As a member of the BMO team you are valued, respected and heard, and you have more ways to grow and make an impact. We strive to help you make an impact from day one – for yourself and our customers. We’ll support you with the tools and resources you need to reach new milestones, as you help our customers reach theirs. From in-depth training and coaching, to manager support and network-building opportunities, we’ll help you gain valuable experience, and broaden your skillset.

To find out more visit us at https://jobs.bmo.com/ca/en.

BMO is committed to an inclusive, equitable and accessible workplace. By learning from each other’s differences, we gain strength through our people and our perspectives. Accommodations are available on request for candidates taking part in all aspects of the selection process. To request accommodation, please contact your recruiter.

Note to Recruiters: BMO does not accept unsolicited resumes from any source other than directly from a candidate. Any unsolicited resumes sent to BMO, directly or indirectly, will be considered BMO property. BMO will not pay a fee for any placement resulting from the receipt of an unsolicited resume. A recruiting agency must first have a valid, written and fully executed agency agreement contract for service to submit resumes.