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About the Role

The Capital Markets Senior Compliance Officer 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, corporate, and fiduciary obligations are met, with a specific focus on compliance oversight over BMO’s Capital Markets and equity activities. The individual will maintain current knowledge of regulatory requirements, monitor risk, and identify and correct potential gaps and weaknesses.

Responsibilities

Conduct surveillance reviews and evaluate accuracy, reliability, and integrity of compliance analytics and findings.
Identify potential issues associated with surveillance tools and process enhancements and development scenarios.
Communicate and escalate potential issues for timely addressing and resolution.
Fortify detection capabilities and innovation within the program.
Respond to inquiries from auditors and regulators; participate in initiatives to drive adherence to regulatory frameworks and documentation.
Support the CMC equity program, including building and executing the monitoring framework and compliance responsibilities.
Assist in the development of the Equity Compliance Program regarding FINRA broker-dealer requirements and corresponding oversight.
Execute appropriate testing and analyze key performance indicators to ensure LOB policies and programs meet regulatory expectations.
Support root cause analysis in response to material control failures.
Review electronic communications.
Analyze and explore multiple data types to identify anomalies and patterns of risk.
Anticipate potential consequences of unaddressed risk factors or compliance shortfalls and recommend appropriate controls.
Partner with business, legal, risk, and operations teams to provide compliance input on new products, initiatives, and process changes.
Monitor and assess regulatory developments impacting equities businesses and assist with updating policies and procedures.
Participate in risk assessments, issue tracking, and remediation efforts to address control gaps and regulatory findings.
Provide guidance to traders, sales staff, operations, and supervisory personnel on new regulations or interpretations, with a focus on SEC and FINRA developments.
Develop and maintain a high level of expertise in all regulations, directives, and guidance applicable to the supported Equity group(s).

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 by 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.
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

Capital Markets Compliance Program
Risk Assessment
Monitoring
Surveillance
Regulatory Requirements
Compliance Framework
Electronic Communications Review
Data Analysis
Problem-Solving
Project Management
Communication
Critical Thinking
Relationship Management
Securities Laws
Options Trading
Market Structure
Surveillance Systems
Investigation Methodologies
Testing Protocols

Location

151 W 42nd Street

Work Type

Salaried

Experience Level

Senior

Education Level

Bachelor’s degree required

Salary/Compensations

$81,400.00 - $151,800.00

Benefits

Health insurance
Tuition reimbursement
Accident and life insurance
Retirement savings plans

About the Company

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 http://jobs.bmo.com/us/en

Equal Opportunity

BMO is proud to be an equal employment opportunity employer. We 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. We 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.