Senior Manager, Capital Markets Governance & Compliance (Broker Dealer Compliance)

Application Deadline:

07/03/2025

Address:

151 W 42nd Street

Job Family Group:

Finance & Accounting

Our ideal candidate has FINRA examiner background with broker dealer experience including SEC 15c3 experience, possessing a strong understanding of broker dealer operations and SEC/FINRA regulations. This individual should have dealt with trading intricacies, showcasing a comprehensive grasp of the industry.

Develops or maintains an effective financial governance and controls framework that defines the ways and methods governance is implemented, managed, and monitored in the business/group. The governance framework includes SEC/FINRA regulatory policies, guidelines and provides programs, practices and measures to promote transparency, accuracy, consistency across groups. Provides an oversight of SEC Rule 17a-5. Applies specialized knowledge of Accounting & Financial management risk, regulatory compliance and internal controls related to financial processes and information.

• Regularly connects work to BMO's purpose, sets inspirational goals, defines clear expected outcomes, and ensures clear accountability for follow through.

• Builds interdependent teams that collaborate across functional and operating groups to create the highest value for all stakeholders.

• Attracts, retains, and enables the career development of top talent.

• Improves team performance, recognizes and rewards performance, coaches employees, supports their development, and manages poor performance.

• Acts as a trusted advisor on governance matters.

• Influences and negotiates to achieve business objectives.

• Recommends and implements Financial governance solutions based on analysis of issues and implications for the business.

• Researches existing or emerging requirements & related best practices to assist and develops recommendations for changes.

• Researches existing or emerging requirements & related best practices to assist and develops recommendations for changes.

• Assists in the development of strategic plans.

• Identifies emerging issues and trends to inform decision-making.

• Leads or assists in the execution of oversight/governance activities.

• Leads or assists with the maintenance, monitoring, measurement & reporting on the status of the governance program to various internal & external stakeholder audiences.

• Supports the development, evolution and maintenance of the governance system and framework.

• Conducts independent analysis and assessment to resolve strategic issues.

• Coordinates the management of databases; ensures alignment and integration of data in adherence with data governance standards.

• Monitors and tracks performance, and addresses any issues.

• Designs and produces regular and ad-hoc reports, and dashboards.

• Leads or participates in setting communication strategy; develops and delivers tailored messaging about through the appropriate distribution channels.

• Leads the management of governance meetings and maintains maintenance of governing body mandates, oversight and approval guidelines.

• Leads, integrates and coordinates the maintenance, monitoring, measurement & reporting on the status of the governance program to various internal & external stakeholder audiences.

• Leads the maintenance of the governance system and framework.

• Leads the interpretation of new or changing regulations and assessing impacts to the governance framework.

• Leads process, improvements and special projects, designing effective and sustainable solutions.

• Develops governance and control related solutions and makes recommendations based on an understanding of the business strategy and stakeholder needs.

• Provides advice and guidance to assigned business/group on implementation of the governance framework, including effective challenge.

• Coordinates and participates in the execution of oversight/governance activities including: reporting, assessment of education & training needs, development/delivery of training, development and execution of regulatory administration processes & procedures, management of review/updates to policies, etc.

• Assists with the maintenance, monitoring, measurement & reporting on the status of the governance program to various internal & external stakeholder audiences.

• Supports policy/standard/operating procedures lifecycle management, education and training assessment, development & delivery, coordination of attestation programs, reporting, et