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About the Role

The Director of Equities Compliance will assist in the effective implementation, maintenance and administration of the Capital Markets Compliance Program. This role provides compliance advisory services, coordinates and performs ongoing risk assessment, monitoring and surveillance activities to ensure the Compliance Program remains current and aligned with the Firm’s Enterprise-wide Compliance Program. The role works closely with internal business partners to ensure regulatory and corporate obligations are met, with a specific focus on compliance oversight over BMO’s Capital Markets equity activities.

Responsibilities

Provides compliance advisory services.
Coordinates and performs ongoing risk assessment, monitoring and surveillance activities.
Works closely with relevant internal business partners to ensure regulatory and corporate obligations are met.
Maintains current knowledge of regulatory requirements and developments.
Monitors risk, identifies and corrects possible gaps and weaknesses.
Responsible for the successful implementation and maintenance of the Firm’s compliance framework.
Provides real-time guidance to Capital Markets management on implications of new regulatory policies or Bank products.
Assists in the implementation of new or revised policies and programs.
Develops and maintains compliance information for analysis and reporting.
Monitors business activities and engages in active dialog with business unit personnel regarding Compliance impacts.
Communicates directly with traders and supervisors to provide real-time guidance, assess risks and remediate issues.
Actively monitors regulatory developments and trends and takes appropriate action to ensure business unit compliance.
Reviews, drafts, and enhances Policies and Procedures and Written Supervisory Procedures.
Reviews new business initiatives, products, and markets to ensure full compliance before launch.
Works closely with IT and support staff on the implementation of regulatory initiatives.
Assists and trains the business line, support functions and compliance support staff on relevant rules and regulations.
Assists in the response of regulatory inquiries and regulatory examinations.
Provides advisory guidance to support functions to ensure compliant functionality of front and back-office tools.
Communicates and escalates potential issues for timely addressing and resolution.
Supports the CMC equity program, including building and executing the monitoring framework and compliance responsibilities.
Executes appropriate testing and analyzes key performance indicators to ensure LOB policies and programs are maintained.
Supports root cause analysis in response to material control failures.
Reviews electronic communications.
Participates in risk assessments, issue tracking, and remediation efforts to address control gaps and regulatory findings.

Requirements

Minimum of 5 years of experience with a financial services firm in a compliance role or equivalent experience at a regulator.
Strong knowledge of multiple equity market activities preferred including: communications, SEC Rule 605/6, supervision, best execution/order handling, and SEC Rule 15c3-5.
Builds relationships with key stakeholders to ensure high levels of satisfaction and lay the foundations for continued growth and partnership.
Leads projects to completion, provides process and technical expertise, advice and consulting throughout plan execution.
Leads process improvements based on post-mortem analysis.
Leverages feedback to improve processes collaborating with leadership teams across departments.
Must be a highly motivated candidate with the ability to work independently.
Ability to multi-task, plan and prioritize a large volume of detail-oriented work in accordance with changing deadlines.
Strong knowledge of applicable securities laws, rules and regulations with the ability to assess firm impact.
Strong communication, critical thinking, relationship management, and project management skills.
Deep operational and regulatory knowledge across SEC, FINRA, and exchange rules.
Strong understanding of options trading and market structure.
Experience across multiple compliance functional areas (surveillance, investigations, testing, reporting).
Expertise in surveillance systems, investigation methodologies, and testing protocols.
Ability to translate complex regulatory requirements into practical operational procedures.
Demonstrated analytical and problem-solving skills with the ability to synthesize complex information and provide actionable recommendations.

Skills

Equities trading activities
Regulatory reporting requirements
CAT
TRF reporting
Reg SHO
SEC Rule 15c3-5
FINRA Rule 5310
SEC Rule 605/6
Surveillance systems
Investigation methodologies
Testing protocols

Location

151 W 42nd Street

Work Type

Salaried

Experience Level

Director

Education Level

Bachelor’s degree required

Salary/Compensations

$112,200.00 - $209,000.00

Benefits

Health insurance
Tuition reimbursement
Accident and life insurance
Retirement savings plans

About the Company

BMO Financial Group’s purpose is to Boldly Grow the Good in business and life. They aim to create lasting, positive change for customers, communities, and people. BMO fosters an environment where employees are valued, respected, and heard, with opportunities for growth and impact. They provide tools and resources for professional development, including training, coaching, and networking opportunities. BMO is a leading bank, focused on building, investing, and transforming to drive performance and grow the good. They serve over 12 million customers with personal and commercial banking, wealth management, and investment services, operating as the 8th largest bank in North America by assets.

Equal Opportunity

BMO is proud to be an equal employment opportunity employer. They evaluate applicants without regard to race, religion, color, national origin, sex (including pregnancy, childbirth, or related medical conditions), sexual orientation, gender identity, gender expression, transgender status, sexual stereotypes, age, status as a protected veteran, status as an individual with a disability, or any other legally protected characteristics. They also consider applicants with criminal histories, consistent with applicable federal, state and local law. BMO is committed to working with and providing reasonable accommodations to individuals with disabilities. If you need a reasonable accommodation because of a disability for any part of the employment process, please send an e-mail to BMOCareers.Support@bmo.com and let us know the nature of your request and your contact information.