BMO
Senior Compliance Manager at BMO Private Wealth
Job Description
Elevate regulatory engagement with BMO Nesbitt Burns as a Senior Compliance Manager on a 12-month contract. Lead compliance efforts within a major platform modernization initiative.
This role requires expertise in CIRO rules and securities regulations, reporting to both the Chief Compliance Officer and the Managing Director of Regulatory Engagement. You'll prepare regulatory submissions, coordinate with regulators, and ensure adherence to compliance requirements, making a significant impact on the Project's success.
Key Responsibilities:
• Prepare regulatory submissions and applications for approval
• Document compliance impacts for current and future operating models
• Lead compliance for technology modernization initiatives
• Support changes to supervisory controls and compliance programs
• Build strong stakeholder relationships across various business units
Requirements:
• University degree and 8+ years in compliance or regulatory roles
• Completion of ...
This role requires expertise in CIRO rules and securities regulations, reporting to both the Chief Compliance Officer and the Managing Director of Regulatory Engagement. You'll prepare regulatory submissions, coordinate with regulators, and ensure adherence to compliance requirements, making a significant impact on the Project's success.
Key Responsibilities:
• Prepare regulatory submissions and applications for approval
• Document compliance impacts for current and future operating models
• Lead compliance for technology modernization initiatives
• Support changes to supervisory controls and compliance programs
• Build strong stakeholder relationships across various business units
Requirements:
• University degree and 8+ years in compliance or regulatory roles
• Completion of ...