100 King Street West Toronto Ontario,M5X 1A1

Mandate

Reporting to the Director of Trade Surveillance, the Compliance Officer supports the implementation, maintenance, and administration of the compliance and risk monitoring program for Global Markets (Canada). This role conducts risk assessment, monitoring, and surveillance activities to ensure alignment with the Enterprise‑wide Compliance Program, regulatory requirements, corporate policies, and risk appetite. The Compliance Officer partners with Capital Markets LOBs and internal stakeholders to meet regulatory, corporate, and fiduciary obligations. The role maintains current regulatory knowledge, identifies and addresses compliance gaps, advises on regulatory implications of new policies or products, and supports the development and implementation of revised controls, policies, and programs. The Officer maintains compliance information for analysis and reporting.

Key Accountabilities:

Compliance Program Execution and Monitoring (60%)

• Perform compliance reviews focused on equities, ensure adherence to regulatory and banking rules, recommend remediation, and follow up on corrective action.
• Conduct ongoing risk assessments, evaluate compliance controls, and analyze factors affecting risk mitigation and regulatory adherence.
• Identify potential consequences of unaddressed risks and recommend stronger controls; continually challenge LOB staff through regular dialogue to enhance compliance practices.
• Escalate high‑risk or high‑profile cases to Compliance and LOB management for visibility and timely resolution.
• Validate monitoring strategies, identify trends, and recommend improvements to optimize data and governance.
• Execute testing activities and analyze KPIs to ensure LOB policies and programs meet regulatory expectations.
• Support root cause analysis for material control failures and ensure effective resolution.
• Maintain complete and accurate documentation of monitoring and surveillance activities; report findings and track issue remediation.
• Participate in regulatory reviews, remediation initiatives, and related project work.
• Provide guidance to less‑experienced Compliance team members on developing and implementing solutions.

Regulatory Consultation (20%)

• Serve as the key compliance advisor to LOB management and staff for Equity Products, helping to identify and implement efficient compliance risk management solutions.
• Review disclosures, forms, and marketing materials for regulatory compliance.
• Respond to LOB and trading staff inquiries, including seeking regulatory interpretations and facilitating discussions with regulators when needed.
• Consult with LOBs on new products, services, and automated systems to ensure compliance requirements are incorporated.
• Deliver education, training, and direction on compliance topics.

Regulatory Governance (20%)

• Maintain deep expertise in applicable regulations, directives, and industry guidance affecting supported LOBs.
• Provide input on emerging issues and regulatory interpretations to LOB Compliance and business partners.
• Assess business initiatives for regulatory, reputational, and financial risks.
• Respond to regulatory and internal inquiries regarding policies, procedures, and obligations.
• Identify training needs arising from compliance monitoring and support the communication and implementation of regulatory changes.
• Represent LOB Compliance during internal, external, and regulatory audits and examinations.

Qualifications:

• Minimum 6 years of relevant experience and post‑secondary degree in a related field, or equivalent.
• Compliance certification preferred.
• Strong knowledge of consumer protection regulations, marketing/advertising guidelines, and regulatory compliance requirements.
• Experienced in advising a single client group on compliance operations and regulatory matters; regulatory body experience an asset.
• Strong communication, critical thinking, project management, and relationship‑building skills.
• Advanced analytical, problem‑solving, influencing, and data‑driven decision‑making capabilities.
• Strong collaboration and team skills, supported by deep technical proficiency gained through extensive education and business experience.

Salary:

$75,900.00 - $141,900.00

Pay Type:

Salaried

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.