Senior Compliance Officer, Management Reporting

Application Deadline:

07/10/2025

Address:

100 King Street West

Job Family Group:

Audit, Risk & Compliance

This is a fantastic hybrid opportunity to join our Legal, Regulatory and Compliance team at BMO at our downtown Toronto offices. If you are an effective communicator that is highly organized with strong attention to detail and the ability to quickly build trust with your stakeholders, this could be the next step in your career. Experience with the Governance, Risk and Compliance Engine (GRCE) platform or Archer (or similar centralized risk and compliance platforms) is a definite asset.

Assists in the implementation, maintenance and administration of the Capital Markets compliance program. Analyses risk assessment, monitoring, testing and surveillance activities outcomes to ensure program remains current and aligned with BMO Compliance Program. Works with business/group and internal partners to ensure regulatory, corporate and fiduciary obligations are met. Advises business/group on implications of new regulatory developments or internal products, and assists to implement new/revised policies and programs to address them. Identifies risks and implements appropriate actions to mitigate them. Develops and maintains compliance information for analysis and reporting. Achieves compliance goals by maintaining current knowledge of regulatory requirements and developments. Maintains functional and regulatory expertise, and refers to Compliance Policies & Procedures manuals for requirements. Contributes to business/group results by providing oversight and making recommendations that significantly impact the Bank’s ability to monitor regulatory compliance programs, minimize operational risk and align with regulatory agencies.

• Assists in development and production of management and board reports

• Collaborates to ensure timely and complete responses to regulatory exams and inquiries

• Manages regulatory filings

• Performs governance activities related to e-communications surveillance

• Influences to achieve effective regulatory compliance controls that enable business objectives.

• Builds effective professional relationships with business groups, internal/external stakeholders and trust with regulators.

• Analyses and reports on compliance data, and related data to gain insights on regulatory risk.

• Oversees the development and maintenance of guidelines and procedures, providing advice/rulings as necessary.

• Participates in the design, implementation and management of core business/group processes.

• Assists to identify more effective compliance controls.

• Performs and/or effectively challenges monitoring and testing activities to ensure regulatory compliance controls are operating and aligned to regulatory requirements.

• Supports root cause analysis in response to material control failures in business/group.

• Identifies, assesses, effectively challenges and oversees the satisfactory resolution of issues, including ensuring adequate management remediation plans and validation.

• Elevates high profile issues/risk cases to Compliance and business/group management for prompt resolution.

• Analyzes and reports compliance information to Compliance and business/group management.

• Develops and maintains a high level of regulatory expertise.

• Interacts with examiners/auditors during internal, external and regulatory audits and examinations.

• Anticipates/ identifies and analyses risk and consequences of unaddressed risk factors/ compliance gaps, and recommends appropriate controls.

• Operates effectively within a high stress environment with constantly changing expectations and regulatory & audit scrutiny.

• Accesses, monitors and reports on sensitive Bank, customer, transactional and employee information to ensure compliance with regulatory requirements.

• Communicates the roles and importance of each of the three lines of defense, and proactively identifies regulatory risk.

• Provides specialized consulting, analytical and technical support.

• Exercises judgment to identify, diagnose, and solve problems within given rules.

• Works independently and regularly handles non-routine situations.

• Broader work or accountabilities may be assigned as needed.

Qualifications:

• Typically minimum of 6 years of relevant experience and post-secondary degree in related field of study or an equivalent combination of education and experience.

• Recognized compliance certificate or equiva